Gregory R. Seward
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 Robert Seward was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1996. Gregory had worked at 5 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2014 - April 27, 2015
UNITED CAPITAL MARKETS, INC.
June 7, 1999 - March 29, 2000
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
May 18, 1999 - July 30, 2001
AMERICAN GENERAL DISTRIBUTORS, INC.
June 20, 1997 - July 30, 2001
VALIC FINANCIAL ADVISORS, INC.
July 29, 1996 - July 30, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
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
Current Firm
UNITED CAPITAL MARKETS, INC.
CRD#: 40980 / SEC#: , 8-49253
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 2 |
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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