Paul S. Gregg

ROCK ELM CAPITAL MANAGEMENT LLC

Darien, CT 06820

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CRD#: 1657835

Professional summary

Paul Stephen Gregg is a registered financial advisor currently at ROCK ELM CAPITAL MANAGEMENT LLC located in Darien, Connecticut.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Paul has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Stephen Gregg's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 1, 2018 - Present

ROCK ELM CAPITAL MANAGEMENT LLC

Office #1: 30 Old Kings Highway South, Darien, CT 06820

RIA

CRD#: 287783

Darien, CT

Past

November 23, 2011 - May 6, 2016

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

September 22, 2008 - December 15, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

April 5, 2007 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 18, 1998 - April 2, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 23, 1998 - December 18, 1998

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Past

September 14, 1990 - October 1, 1997

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Past

January 4, 1988 - March 30, 1989

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(3/1/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/1/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/6/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/18/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 12/8/1990

Financial and Operations Principal Examination

Current Firm

ROCK ELM CAPITAL MANAGEMENT LLC

CRD#: 287783 / SEC#:

Connecticut

Registered Investment Advisory firm - (7/20/2017 Approved)

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Contact information

Main Address

30 Old Kings Highway South, Darien, CT 06820

Mailing Address

Phone number

+1 (203) 202-1639

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Paul S. Gregg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Stephen Gregg's CRS (Customer Relationship Summary).

Certified licenses

Experience

MACQUARIE CAPITAL (USA) INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP SECURITIES, INC.

CITICORP SECURITIES, INC.

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/2018

Series 63

Date: 11/19/1990

SIE

Date: 5/6/2016

Series 3

Date: 5/18/2001

Series 7

Date: 8/15/1987

Series 27

Date: 12/8/1990

Current Firm

ROCK ELM CAPITAL MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

ROCK ELM CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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