Gregory A. Hall
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.
Gregory Allen Hall, who also goes by Gregory Hall, was a registered financial advisor .
Gregory is a previously registered financial advisor and started their career in finance in 1984. Gregory had worked at 8 firms and has passed the Series 65, Series 63, Series 22, Series 7, Series 6, Series 53, Series 4, Series 39 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
August 2, 2005 - April 19, 2006
A. G. EDWARDS & SONS, INC.
June 29, 2005 - April 19, 2006
A. G. EDWARDS & SONS, INC.
April 11, 2003 - June 22, 2004
NEXT FINANCIAL GROUP, INC.
April 8, 2003 - June 22, 2004
NEXT FINANCIAL GROUP, INC.
September 26, 1997 - April 1, 2003
FSC SECURITIES CORPORATION
February 20, 1996 - April 1, 2003
FSC SECURITIES CORPORATION
January 29, 1996 - February 20, 1996
FSC SECURITIES CORPORATION
July 19, 1993 - January 30, 1996
AEGON USA SECURITIES INC.
April 1, 1991 - July 19, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 3, 1990 - April 1, 1991
PW SECURITIES, INC.
June 1, 1989 - February 6, 1990
KIDDER, PEABODY & CO. INCORPORATED
October 22, 1984 - June 7, 1989
PFS INVESTMENTS 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
A. G. EDWARDS & SONS, INC.
CRD#: 4 / SEC#: , 8-13580
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.G. EDWARDS, INC. | HOLDING COMPANY | |
| ATKIN, MARY MARGARET | DIRECTOR, EXECUTIVE VICE PRESIDENT | 863962 |
| BAGBY, ROBERT LEE | CHAIRMAN OF BOARD OF DIRECTORS | 9985 |
| BIEBEL, PETER ALAN | SENIOR REGISTERED OPTIONS PRINCIPAL | 722143 |
| GRUMKE, CLAY LEONARD | CHIEF LEGAL COUNSEL, VICE PRESIDENT | 2199350 |
| HOPKINS, DAVID RICHARD | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | 4802877 |
| KELLY, DOUGLAS LAIRD | CORPORATE SECRETARY, DIRECTOR, EXECUTIVE VP; CHIEF OPERATING OF | 2428802 |
| LUDEMAN, DANIEL JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 874126 |
| MAHAT, MARC ALAN | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 1967091 |
| UNDERWOOD, BRIAN CLINTON | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | 1229168 |
Disclosures
| Regulatory Event | 77 |
| Arbitration | 265 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
