David J. Gregg
Professional summary
David Joseph Gregg was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David Joseph Gregg was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1986. David had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 15, Series 5, Series 27, Series 4 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 12, 2012 - March 25, 2014
STONEX SECURITIES INC.
June 28, 2000 - April 25, 2013
PLATINUM PLANNING, INC.
August 6, 1998 - January 29, 2013
STERLING ENTERPRISES GROUP, INC.
October 10, 1997 - August 21, 1998
BRAUER & ASSOCIATES, INC.
January 6, 1995 - October 13, 1997
AEGON USA SECURITIES INC.
August 10, 1994 - December 31, 1994
CAPITAL INVESTMENT GROUP, INC.
March 30, 1994 - October 13, 1994
CERTIFIED INVESTMENTS CORPORATION
May 20, 1986 - February 4, 1988
GOLDMAN SACHS & CO. 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
Series 55
Date: 3/22/1999
Limited Representative-Equity Trader ExamSeries 15
Date: 10/17/1986
Foreign Currency Options ExaminationSeries 5
Date: 10/13/1986
Interest Rate Options ExaminationCurrent Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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