Gregg H. Ettin
Professional summary
Gregg Harley Ettin is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregg Harley Ettin's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2007 - Present
CLEARVIEW TRADING ADVISORS, INC.
Office #2: 10 Glenwood Road, Tenafly, NJ 07670February 15, 2007 - September 25, 2007
BROADBAND CAPITAL MANAGEMENT, LLC
September 16, 2005 - February 15, 2007
STONEHAVEN, LLC
January 8, 2004 - September 19, 2005
CARLIN EQUITIES, LLC
October 27, 2000 - August 26, 2003
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
December 23, 1986 - January 26, 2000
SCHRODER & CO. 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 1/9/2002
Limited Representative-Equity Trader ExamFINRA
FINRA
Current Firm
CLEARVIEW TRADING ADVISORS, INC.
CRD#: 142873 / SEC#: , 8-67501
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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