Gregory J. Holley
Professional summary
Gregory James Holley is a registered financial professional currently at KEPLER CAPITAL MARKETS, INC. located in New York, New York.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1988. Gregory has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7, Series 8 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory James Holley's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 2026 - Present
KEPLER CAPITAL MARKETS, INC.
Office #1: 12 East 49th Street 31st Floor, New York, NY 10017June 8, 2020 - August 18, 2021
BGC FINANCIAL, L.P.
July 23, 1996 - November 27, 1996
YAMAICHI INTERNATIONAL (AMERICA) INC.
April 6, 1992 - November 27, 1996
YAMAICHI INTERNATIONAL (AMERICA) INC.
October 15, 1990 - May 15, 1991
PRUDENTIAL EQUITY GROUP, LLC
July 25, 1988 - October 31, 1990
UBS FINANCIAL SERVICES INC.
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 7TO
Date: 7/19/2022
General Securities Representative ExaminationSeries 8
Date: 7/21/1990
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
KEPLER CAPITAL MARKETS, INC.
CRD#: 139148 / SEC#: , 8-67194
Contact information
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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