Gregory H. Nau
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 Henry Nau, who also goes by Gregory H Nau, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1985. Gregory had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, 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
December 10, 2015 - January 21, 2016
KMS FINANCIAL SERVICES, INC.
December 10, 2015 - January 21, 2016
KMS FINANCIAL SERVICES, INC.
December 6, 2010 - December 14, 2015
OSAIC SERVICES, INC.
January 3, 2006 - January 20, 2011
BARCLAY WEST FINANCIAL ADVISORS
October 31, 2005 - December 14, 2015
OSAIC SERVICES, INC.
April 13, 2000 - December 31, 2005
BARCLAY WEST FINANCIAL ADVISORS
May 4, 1999 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 25, 1985 - April 6, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 25, 1985 - April 6, 1995
EQUITABLE ADVISORS, LLC
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
