Gregory J. Williams
Professional summary
Gregory Jon Williams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Gregory had worked at 6 firms, which includes FORTA FINANCIAL GROUP INC., MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., BANC ONE SECURITIES CORPORATION, A. G. EDWARDS & SONS INC., AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2011 - November 25, 2020
FORTA FINANCIAL GROUP, INC.
April 20, 2011 - November 25, 2020
FORTA FINANCIAL GROUP, INC.
June 1, 2009 - May 10, 2011
MORGAN STANLEY
June 1, 2009 - May 10, 2011
MORGAN STANLEY
July 29, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 29, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 19, 1997 - August 4, 2005
BANC ONE SECURITIES CORPORATION
January 8, 1993 - August 4, 2005
BANC ONE SECURITIES CORPORATION
December 9, 1986 - July 28, 1989
A. G. EDWARDS & SONS, INC.
October 22, 1986 - November 24, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FORTA FINANCIAL GROUP, INC.
CRD#: 28784 / SEC#: 801-113100, 8-43930
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
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