Gregory A. Corrie
Professional summary
Gregory Alan Corrie 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 professional and started their career in finance in 1992. Prior to being barred, Gregory had worked at 7 firms, which includes CAMBRIDGE INVESTMENT RESEARCH INC., CETERA WEALTH SERVICES LLC, CETERA ADVISORS LLC, INVEST FINANCIAL CORPORATION, TRANSAMERICA FINANCIAL ADVISORS LLC, THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2020 - March 17, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 17, 2017 - November 17, 2017
CETERA WEALTH SERVICES, LLC
November 17, 2017 - November 11, 2019
CETERA ADVISORS LLC
March 23, 2009 - November 21, 2017
INVEST FINANCIAL CORPORATION
September 10, 2004 - April 2, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 21, 1992 - September 14, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 21, 1992 - September 14, 2004
OSAIC FA, 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
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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