Gregory Small
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 Small was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1986. Gregory had worked at 6 firms and has passed the Series 63, Series 55, Series 7 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
October 23, 2001 - December 13, 2001
WINDSOR STREET CAPITAL, LP
March 7, 1996 - March 13, 2001
MORGAN, TAYLOR & ASSOCIATES, INC.
December 18, 1995 - March 1, 1996
MORGAN, TAYLOR & ASSOCIATES, INC.
November 27, 1991 - December 1, 1995
TUSCANY EQUITY MANAGEMENT CORPORATI0N
November 27, 1990 - November 27, 1991
CHATFIELD DEAN & CO., INC.
October 6, 1987 - December 4, 1990
THE STUART-JAMES COMPANY, INCORPORATED
July 29, 1986 - September 4, 1987
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
Series 55
Date: 5/30/2001
Limited Representative-Equity Trader ExamCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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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