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GN

Gregg N. Nussbaum

Some features on this profile are disabled
CRD#: 2020751
GN

Professional summary

Gregg N Nussbaum was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gregg is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Gregg had worked at 12 firms, which includes GILFORD SECURITIES INCORPORATED, NATIONAL SECURITIES CORPORATION, FIRST INTEGRITY CAPITAL PARTNERS CORP., KILEY PARTNERS INC., STONEX SECURITIES INC., JESUP & LAMONT SECURITIES CORP, SETON SECURITIES GROUP INC., FIRST AMERICAN CAPITAL AND TRADING CORPORATION, NEWBRIDGE SECURITIES CORPORATION, CAPITAL GROWTH FINANCIAL LLC, GRANTA CAPITAL GROUP LLC, S.W. BACH & COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregg Nussabaum

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

April 4, 2012 - August 22, 2013

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
FT. LAUDERDALE, FL
Past

January 24, 2012 - March 12, 2012

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

February 8, 2011 - November 22, 2011

FIRST INTEGRITY CAPITAL PARTNERS CORP.

BD
CRD#: 146049
WEST PALM BEACH, FL
Past

September 21, 2010 - December 8, 2010

KILEY PARTNERS, INC.

BD
CRD#: 37814
HENDERSON, NV
Past

July 21, 2010 - September 16, 2010

STONEX SECURITIES INC.

BD
CRD#: 18456
BOCA RATON, FL
Past

July 13, 2009 - February 9, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
BOCA RATON, FL
Past

May 29, 2009 - August 4, 2009

SETON SECURITIES GROUP, INC.

BD
CRD#: 18044
NEW YORK, NY
Past

March 8, 2007 - June 4, 2007

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

BD
CRD#: 118812
BOCA RATON, FL
Past

December 20, 2006 - January 17, 2007

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

December 8, 2005 - November 29, 2006

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
BOCA RATON, FL
Past

July 13, 2004 - January 5, 2006

GRANTA CAPITAL GROUP LLC

BD
CRD#: 114657
BOCA RATON, FL
Past

June 3, 2004 - June 22, 2004

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY

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
RR
Series 63
Date: 10/25/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 5/6/2004
Government Securities Representative Examination

Current Firm

GS
GILFORD SECURITIES INCORPORATED
GILFORD SECURITIES INCORPORATED

CRD#: 8076 / SEC#: , 8-24230

BD
Terminated by SEC on 12/28/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/24/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WORTHINGTON, RALPH IVCHAIRMAN AND CEO, CHIEF COMPLIANCE OFFICER472943
SACHS, BONNIE JANE EDELMANDIRECTOR, CFO, COO725100

Disclosures

Regulatory Event21
Arbitration29

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

GILFORD SECURITIES INCORPORATED

CRD#: 8076

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