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Gregory Phillip Pipkin Sr

CRD# 1739373·Registered 1997 - 2019
Previously Registered: Being a previously registered professional could mean that Gregory 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.

Professional Summary

Gregory Phillip Pipkin SR, who also goes by Gregory Phillip Pinkin Sr, Greg Pipkin, Gregory Phillip Pipkin, was a registered financial advisor. Gregory was a previously registered financial professional and started their career in finance 1997 - 2019. Gregory had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Gregory Phillip Pinkin Sr, Greg Pipkin, Gregory Phillip Pipkin

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

NRI ENERGY SECURITIES LLC·CRD# 293244
BD
Houston, TX
April 17, 2019 - December 18, 2019
BARCLAYS CAPITAL INC.·CRD# 19714
BD
Houston, TX
September 22, 2008 - November 14, 2017
LEHMAN BROTHERS INC.·CRD# 7506
BD
Houston, TX
July 1, 1997 - September 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
January 1, 1997 - July 14, 1997

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Current Firm

NE
NRI ENERGY SECURITIES LLC

NRI ENERGY SECURITIES LLC

CRD#: 293244 / SEC#: 8-70096
BD
Terminated by SEC on 02/14/2020

Contact Information

Established

Delaware since 10/26/2016

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
RUTHERFORD, JOHN RICHARDSENIOR MANAGING DIRECTOR/CCO1899788
LEGAYE, DANIEL EUGENE SRFINOP/CFO/PFO/POO1055035
PIPKIN, GREGORY PHILLIP SRSENIOR MANAGING DIRECTOR1739373

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 2007About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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