Gregory O. Trautman
Professional summary
Gregory Owen Trautman was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Gregory had worked at 6 firms, which includes TRAUTMAN WASSERMAN & COMPANY INC., AUGMENT SECURITIES INC., GKN SECURITIES CORP., JOSEPHTHAL & CO. INC., GILFORD SECURITIES INCORPORATED, THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 1993 - December 8, 2006
TRAUTMAN WASSERMAN & COMPANY, INC.
May 28, 1992 - June 7, 1993
AUGMENT SECURITIES INC.
October 8, 1991 - May 26, 1992
GKN SECURITIES CORP.
February 6, 1991 - October 2, 1991
JOSEPHTHAL & CO., INC.
November 22, 1989 - March 27, 1991
GILFORD SECURITIES INCORPORATED
May 26, 1988 - November 28, 1989
THE STUART-JAMES COMPANY, 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 55
Date: 9/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
TRAUTMAN WASSERMAN & COMPANY, INC.
CRD#: 33007 / SEC#: , 8-45755
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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