Gregory T. Genung
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 Thomas Genung was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1991. Gregory had worked at 4 firms and has passed the Series 63, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2017 - June 3, 2019
WELLS FARGO INVESTMENT INSTITUTE, INC.
December 13, 2000 - December 2, 2004
WELLS FARGO INVESTMENTS, LLC
February 3, 1994 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 24, 1991 - September 1, 1993
PIPER SANDLER & CO.
Primary Firm SEC Registration
WELLS FARGO INVESTMENT INSTITUTE, INC.
CRD#: 133204 / SEC#: 801-64191
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
WELLS FARGO INVESTMENT INSTITUTE, INC.
CRD#: 133204 / SEC#: 801-64191
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,594 |
| AUM (Assets Under Management) | $ 40,817,738,378 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/13/2023 | ||
| 02/17/2023 |
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.
