Gregory J. Morin
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 John Morin SR. was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1987. Gregory had worked at 7 firms and has passed the Series 63, Series 72 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2018 - July 23, 2024
LPS CAPITAL LLC
September 21, 2015 - July 2, 2018
BURKE & QUICK PARTNERS LLC
February 22, 2006 - June 17, 2015
TRADITION SECURITIES AND DERIVATIVES LLC
January 23, 2003 - March 15, 2006
SEABOARD SECURITIES, INC.
November 4, 1998 - November 26, 2001
ICAP SECURITIES USA LLC
February 27, 1990 - October 29, 1998
TULLETT LIBERTY BROKERAGE INC.
July 25, 1987 - September 1, 1989
FUNDAMENTAL BROKERS
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 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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