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GT

Gregory O. Trautman

Some features on this profile are disabled
CRD#: 1837389
GT

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

Are you a "fiduciary"?
No

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)

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

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

Past

August 12, 1993 - December 8, 2006

TRAUTMAN WASSERMAN & COMPANY, INC.

BD
CRD#: 33007
NEW YORK, NY
Past

May 28, 1992 - June 7, 1993

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

October 8, 1991 - May 26, 1992

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

February 6, 1991 - October 2, 1991

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

November 22, 1989 - March 27, 1991

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

May 26, 1988 - November 28, 1989

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/3/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 9/21/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/21/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/21/1993
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/20/1988
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/1/1988
General Securities Principal Examination

Current Firm

TW
TRAUTMAN WASSERMAN & COMPANY, INC.
TRAUTMAN WASSERMAN & CO., INC. | TRAUTMAN, KRAMER & COMPANY, INC. | TRAUTMAN, KRAMER & COMPANY | TRAUTMAN WASSERMAN & COMPANY, INC.

CRD#: 33007 / SEC#: , 8-45755

BD
Revoked by SEC on 03/13/2008
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/29/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRAUTMAN, GREGORY OWENCEO,CCO/ COMPLIANCE DIR/BRANCH MANAGER NY, CROP/SROP1837389
WASSERMAN, SAMUEL MORTONCHAIRMAN, PRESIDENT, SENIOR REGISTERED OPTIONS PRINCIPAL459653
BARBERA, MARKCOO, CFO1958117

Disclosures

Regulatory Event13
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TRAUTMAN WASSERMAN & COMPANY, INC.

CRD#: 33007

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