Guy D. Gregoire
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Guy David Gregoire, who also goes by Guy Gregoire, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1984. Guy had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2014 - March 6, 2014
JVB FINANCIAL GROUP, LLC
January 23, 2014 - April 5, 2016
COHEN & COMPANY SECURITIES, LLC
August 1, 2013 - January 24, 2014
SAXONY SECURITIES, INC.
March 30, 2012 - September 28, 2012
BNY MELLON CAPITAL MARKETS, LLC
January 18, 2006 - September 28, 2012
PERSHING LLC
August 9, 2001 - April 12, 2005
DEUTSCHE BANK SECURITIES INC.
February 26, 1997 - July 30, 2001
ITG EXECUTION SERVICES, INC.
December 4, 1995 - November 25, 1996
KADICK, INCORPORATED
June 4, 1993 - April 10, 1995
UBS SECURITIES LLC
March 13, 1990 - January 23, 1992
LEHMAN GOVERNMENT SECURITIES INC.
September 20, 1984 - January 23, 1992
LEHMAN BROTHERS INC.
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
JVB FINANCIAL GROUP, LLC
CRD#: 104412 / SEC#: , 8-52877
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JVB FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| BURKLIN, STEPHAN GEORGE | MANAGER & COO | 1808970 |
| BUTKEVITS, VINCENT WILLIAM III | PRESIDENT, CEO | 1818987 |
| DOBIE, ROBERT DENNIS | CFO, FINOP | 5453400 |
| HATTON, JOHN CHRISTOPHER | MUNICIPAL SECURITIES PRINCIPAL | 1570311 |
| SILBERMAN, JEFFREY DAVID | CHIEF LEGAL OFFICER | 5726501 |
| VACCA, KATHARINE ELIZABETH | CCO | 1821586 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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