Keith E. Gregg
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.
Keith Edward Gregg was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1987. Keith had worked at 27 firms and has passed the Series 65, Series 63, SIE, 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
December 1, 2022 - May 2, 2024
CAPITOL SECURITIES MANAGEMENT, INC.
January 18, 2018 - October 1, 2020
KINGSWOOD CAPITAL PARTNERS, LLC
December 15, 2017 - October 1, 2020
KINGSWOOD WEALTH ADVISORS, LLC
December 2, 2016 - December 18, 2018
SGMA CAPITAL MARKETS LIMITED
February 10, 2016 - November 30, 2016
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
November 24, 2015 - November 30, 2016
INTERNATIONAL ASSETS ADVISORY, LLC
March 3, 2015 - November 23, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
March 3, 2015 - November 23, 2015
CAPITAL GUARDIAN, LLC
March 27, 2012 - January 16, 2014
CALTON & ASSOCIATES, INC.
March 27, 2012 - January 16, 2014
CALTON & ASSOCIATES, INC.
January 7, 2011 - July 5, 2011
NEW ENGLAND SECURITIES
October 5, 2010 - August 22, 2011
GFN, LLC
June 23, 2010 - January 3, 2011
FSC SECURITIES CORPORATION
April 20, 2010 - January 3, 2011
FSC SECURITIES CORPORATION
February 17, 2010 - March 2, 2010
H. ROARK & ASSOCIATES, INC.
July 21, 2009 - January 7, 2010
WAVELAND CAPITAL PARTNERS LLC
February 27, 2009 - June 26, 2009
FORESIDE FUND SERVICES, LLC
August 20, 2007 - December 19, 2008
FIRST ALLIED SECURITIES, INC.
August 20, 2007 - December 19, 2008
FIRST ALLIED SECURITIES, INC.
October 19, 2005 - August 17, 2007
DUNHAM
October 19, 2005 - August 17, 2007
DUNHAM
January 27, 2005 - October 18, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 28, 2002 - October 18, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 17, 2001 - June 13, 2002
GROVE POINT INVESTMENTS, LLC
June 19, 2000 - November 13, 2000
CAPITAL BROKERAGE CORPORATION
July 16, 1999 - March 17, 2000
FIRST MONTAUK SECURITIES CORP.
May 30, 1998 - June 24, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 28, 1996 - May 22, 1998
GROVE POINT INVESTMENTS, LLC
July 28, 1994 - January 15, 1996
PACIFIC SELECT DISTRIBUTORS, LLC
February 19, 1992 - December 3, 1993
KEYPORT FINANCIAL SERVICES CORP.
August 20, 1991 - November 12, 1991
A. G. EDWARDS & SONS, INC.
November 30, 1990 - August 14, 1991
DETWILER FENTON WEALTH MANAGEMENT INC
December 6, 1988 - October 22, 1990
A. G. EDWARDS & SONS, INC.
April 21, 1987 - December 20, 1988
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
