Gregory A. Baldwin
Professional summary
Gregory Allen Baldwin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Gregory had worked at 6 firms, which includes NEWPORT COAST SECURITIES INC., GOLDEN BENEFICIAL SECURITIES CORPORATION, ASSET MANAGEMENT OF THE SOUTH, SUNAMERICA SECURITIES INC., WACHOVIA SECURITIES INC., ADVANTAGE CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2008 - July 1, 2009
NEWPORT COAST SECURITIES, INC.
June 4, 2004 - July 28, 2008
GOLDEN BENEFICIAL SECURITIES CORPORATION
March 24, 2003 - December 31, 2003
ASSET MANAGEMENT OF THE SOUTH
August 8, 2002 - March 3, 2003
SUNAMERICA SECURITIES, INC.
February 21, 2002 - June 2, 2004
SUNAMERICA SECURITIES, INC.
November 6, 1990 - February 25, 2002
WACHOVIA SECURITIES, INC.
September 20, 1988 - November 21, 1990
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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