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GG

Gregory C. Gaffney

CRD#: 1363456
Some features on this profile are disabled
GG
Gregory Christopher Gaffney

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 Christopher Gaffney, who also goes by Greg C Gaffney, Gregory Gaffney, Greg Christopher Gaffney, Greg Gaffney, Gregory C Gaffney, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1985. Gregory had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Greg C Gaffney | Gregory Gaffney | Greg Christopher Gaffney | Greg Gaffney | Gregory C Gaffney

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 31, 2025 - June 11, 2026

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SCOTTSDALE, AZ
Past

May 16, 2023 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
CAMPBELL, CA
Past

February 7, 2019 - May 11, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
CAMPBELL, CA
Past

February 1, 2019 - June 11, 2026

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
LAS VEGAS, NV
Past

July 19, 2018 - August 14, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

July 19, 2018 - August 14, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ
Past

October 16, 2013 - July 26, 2017

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
SAN FRANCISCO, CA
Past

October 16, 2013 - July 26, 2017

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
SAN FRANCISCO, CA
Past

August 30, 2011 - October 10, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MENLO PARK, CA
Past

August 30, 2011 - October 10, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MENLO PARK, CA
Past

November 18, 2010 - August 26, 2011

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
SAN FRANCISCO, CA
Past

November 18, 2010 - August 26, 2011

HILLTOP SECURITIES INC.

BD
CRD#: 6220
SAN FRANCISCO, CA
Past

October 6, 2009 - October 4, 2010

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
MENLO PARK, CA
Past

October 6, 2009 - October 4, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
MENLO PARK, CA
Past

April 13, 2009 - September 16, 2009

EDWARD JONES

RIA
CRD#: 250
REDWOOD CITY, CA
Past

April 13, 2009 - September 16, 2009

EDWARD JONES

BD
CRD#: 250
REDWOOD CITY, CA
Past

June 15, 2006 - February 9, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
PALO ALTO, CA
Past

June 15, 2006 - February 9, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
PALO ALTO, CA
Past

July 8, 1997 - June 27, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PURCHASE, NY
Past

July 16, 1996 - June 27, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 14, 1985 - June 23, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

July 24, 1985 - November 27, 1985

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/26/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/23/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 8/9/1996
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/29/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/23/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/12/1999
General Securities Sales Supervisor - Options Module Examination

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
Cover Page
Report

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.

Company Information

STRATEGIC ADVISERS LLC

CRD#: 104555

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