Gregory L. Mintz
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 Lawrence Mintz, who also goes by Gregory L Mintz, Greg Mintz, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1992. Gregory had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - April 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - April 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - April 11, 2019
TD AMERITRADE, INC.
January 24, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 30, 2015 - February 26, 2018
SCOTTRADE, INC.
September 6, 2012 - November 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 2012 - November 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 2011 - January 6, 2012
EDWARD JONES
February 7, 2011 - January 6, 2012
EDWARD JONES
July 12, 2007 - November 12, 2010
UBS FINANCIAL SERVICES INC.
July 12, 2007 - November 12, 2010
UBS FINANCIAL SERVICES INC.
May 9, 2006 - June 27, 2007
CHARLES SCHWAB & CO., INC.
May 9, 2006 - June 27, 2007
CHARLES SCHWAB & CO., INC.
September 16, 2002 - May 2, 2006
MORGAN STANLEY DW INC.
August 5, 1993 - May 2, 2006
MORGAN STANLEY DW INC.
March 17, 1992 - July 16, 1993
DAIN RAUSCHER INCORPORATED
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 8
Date: 2/4/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
