Gregory D. Pryce
Professional summary
Gregory David Pryce was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Gregory had worked at 5 firms, which includes INVEST FINANCIAL CORPORATION, WORLD INVESTMENTS LLC, INVESTACORP INC., TURCAN FINANCIAL GROUP INC., EMPIRE NATIONAL SECURITIES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2009 - December 19, 2016
INVEST FINANCIAL CORPORATION
June 9, 2006 - December 10, 2008
WORLD INVESTMENTS, LLC
September 15, 1988 - June 2, 2006
INVESTACORP, INC.
July 31, 1986 - September 21, 1988
TURCAN FINANCIAL GROUP, INC.
June 21, 1984 - May 30, 1986
EMPIRE NATIONAL SECURITIES, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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