Gregg Harley Ettin
Professional Summary
Gregg Harley Ettin is a registered financial advisor currently at CLEARVIEW TRADING ADVISORS, INC. located in Southampton, New York. Gregg is registered as a RR (Registered Representative) and started their career in finance in 1986. Gregg has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
CLEARVIEW TRADING ADVISORS, INC.
Contact Information
Main Address
10 Glenwood Road, Tenafly, NJ 07670Mailing Address
10 Glenwood Road, Tenafly, NJ 07670Phone Number
(201) 803-3125Established
New York since 10/17/2006Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jan 2002SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gregg Harley Ettin's CRS (Customer Relationship Summary).
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