AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
GB

Gregory J. Buchholz

Some features on this profile are disabled
CRD#: 1864780
GB

Professional summary

Gregory James Buchholz 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 5 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., EDWARD JONES, COMPULIFE INVESTOR SERVICES INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregory Buchholz

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

November 12, 1998 - September 1, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SOUTHBURY, CT
Past

December 12, 1994 - May 28, 1998

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

May 22, 1992 - September 30, 1994

COMPULIFE INVESTOR SERVICES, INC.

BD
CRD#: 21543
ST. CLOUD, MN
Past

September 26, 1988 - September 6, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

September 26, 1988 - September 6, 1991

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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
IAR
Series 65
Date: 9/2/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/23/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/13/1995
General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES, INC.
RAYMOND JAMES FINANCIAL SERVICES, INC.
INVESTMENT MANAGEMENT & RESEARCH, INC | RAYMOND JAMES FINANCIAL SERVICES, INC. | RAYMOND JAMES FINANCIAL SERVICES | RAYMOND JAMES ADVISORY SERVICES

CRD#: 6694 / SEC#: , 8-17983

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 09/12/1973
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAYMOND JAMES FINANCIAL, INC.OWNER
BARKO, SHAWN JOSEPHCHIEF COMPLIANCE OFFICER2690394
CURTIS, SCOTTDIRECTOR1707935
ELWYN, TASHTEGO SPRINGDIRECTOR2319098
GEIS, WILLIAM CHRISTIANDIRECTOR2171250
GRIGAS CALIGIURI, KARAPRINCIPAL FINANCIAL OFFICER, FINOP2146027
KRUCHTEN, STEPHEN EDWARDDIRECTOR1645287
REID, SHANNON BELVEALPRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR4815189
RUST, KEITH GPRINCIPAL OPERATIONS OFFICER5915636
SANTELLI, JONATHANGENERAL COUNSEL6306997

Disclosures

Regulatory Event128
Arbitration76

Red Flags

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

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

TRUST BUT VERIFY

Monitor Gregory Buchholz

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.