Gregory H. Hamwi
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 Henry Hamwi, who also goes by Gregory Hamwi, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1987. Gregory had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2009 - July 9, 2021
NATIONAL FINANCIAL SERVICES LLC
December 7, 1998 - November 2, 2009
MORGAN STANLEY & CO. LLC
August 1, 1995 - December 10, 1998
MORGAN STANLEY DW INC.
February 15, 1990 - April 5, 1990
INTERCAPITAL SECURITIES LLC
November 22, 1989 - April 5, 1990
ICAP SECURITIES USA LLC
February 21, 1989 - November 4, 1989
FUNDAMENTAL BROKERS
October 20, 1987 - September 23, 1988
CANTOR FITZGERALD MBS BROKERS, INC.
October 20, 1987 - October 17, 1988
MINT BROKERS
July 25, 1987 - January 9, 1989
CANTOR FITZGERALD SECURITIES
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
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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