Gregory P. Emmett
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 Peter Emmett was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1970. Gregory had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 1993 - July 16, 2001
UBS CAPITAL MARKETS L.P.
September 19, 1985 - May 15, 1989
RICHARDSON GREENSHIELDS SECURITIES INC.
December 28, 1984 - July 10, 1985
OPPENHEIMER & CO. INC.
February 9, 1981 - September 28, 1984
BECKER PARIBAS INCORPORATED
June 25, 1980 - March 6, 1981
KEEFE, BRUYETTE & WOODS, INC.
February 24, 1978 - August 28, 1980
MORGAN STANLEY DW INC.
January 9, 1970 - February 24, 1978
REYNOLDS SECURITIES, 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 55
Date: 3/29/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 7/18/1969
Registered Representative ExaminationCurrent Firm
UBS CAPITAL MARKETS L.P.
CRD#: 2692 / SEC#: , 8-13535
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS, INC | GENERAL PARTNER | |
| UBS AMERICAS, INC. | LIMITED PARTNER | |
| CS CAPITAL MARKETS & CO. | GENERAL PARTNER OF SCHWAB CAPITAL MARKETS L.P. | |
| LEIBOWITZ, LAWRENCE EDWARD | CO-EXECUTIVE VICE PRESIDENT | 2024745 |
| MCISAAC, DANIEL THOMAS | EXECUTIVE DIRECTOR, CFO, HEAD OF REGULATORY REPORTING | 1543499 |
| MECANE, JOSEPH MICHAEL | VICE PRESIDENT & COO | 3114744 |
| SIMMES, STEPHEN ANDREW | COMPLIANCE DIRECTOR | 4319792 |
| SOUNDVIEW TECHNOLOGY GROUP, INC. | LIMITED PARTNER OF UBS CAPITAL MARKETS, L.P. |
Disclosures
| Regulatory Event | 27 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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