GA
Gregory S. Ager
MACQUARIE CAPITAL (USA)
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2022631
GA
Professional summary
Gregory Scott Ager, who also goes by Gregory Scott Ager, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in Chicago, Illinois.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1994. Gregory has worked at 10 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gregory Scott Ager
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.
CRS (Client Relationship Summary) - BD
Click below to view Gregory Scott Ager's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 18, 2023 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: One North Wacker Drive, Chicago, IL 60606BD
CRD#: 36368
Chicago, IL
Past
March 1, 2018 - May 4, 2022
DC ADVISORY
BD
CRD#: 129919
Washington DC, DC
Past
August 2, 2010 - March 1, 2018
SIGNAL HILL CAPITAL GROUP LLC
BD
CRD#: 122782
RESTON, VA
Past
January 11, 2006 - July 16, 2010
UPDATA SECURITIES, INC.
BD
CRD#: 128333
RESTON, VA
Past
July 1, 2003 - October 21, 2005
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
May 15, 2001 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 25, 1999 - September 19, 2000
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
October 1, 1997 - January 11, 1999
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
August 30, 1996 - October 1, 1997
MONTGOMERY SECURITIES
BD
CRD#: 4357
SAN FRANCISCO, CA
Past
August 15, 1994 - August 15, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/18/2023)
RR
Alaska(1/18/2023)
RR
Arizona(1/18/2023)
RR
Arkansas(1/18/2023)
RR
California(1/18/2023)
RR
Colorado(1/18/2023)
RR
Connecticut(1/18/2023)
RR
Delaware(1/18/2023)
RR
District of Columbia(1/18/2023)
RR
Florida(1/18/2023)
RR
Georgia(1/18/2023)
RR
Hawaii(1/18/2023)
RR
Idaho(1/18/2023)
RR
Illinois(1/18/2023)
RR
Indiana(1/18/2023)
RR
Iowa(1/18/2023)
RR
Kansas(1/18/2023)
RR
Kentucky(1/18/2023)
RR
Louisiana(1/18/2023)
RR
Maine(1/18/2023)
RR
Maryland(1/18/2023)
RR
Massachusetts(1/18/2023)
RR
Michigan(1/18/2023)
RR
Minnesota(1/18/2023)
RR
Mississippi(1/18/2023)
RR
Missouri(1/18/2023)
RR
Montana(1/18/2023)
RR
Nebraska(1/18/2023)
RR
Nevada(1/18/2023)
RR
New Hampshire(1/18/2023)
RR
New Jersey(1/18/2023)
RR
New Mexico(1/18/2023)
RR
New York(1/18/2023)
RR
North Carolina(1/18/2023)
RR
North Dakota(1/18/2023)
RR
Ohio(1/18/2023)
RR
Oklahoma(1/18/2023)
RR
Oregon(1/18/2023)
RR
Pennsylvania(1/18/2023)
RR
Puerto Rico(1/18/2023)
RR
Rhode Island(1/18/2023)
RR
South Carolina(1/18/2023)
RR
South Dakota(1/18/2023)
RR
Tennessee(1/18/2023)
RR
Texas(1/18/2023)
RR
Utah(1/18/2023)
RR
Vermont(1/18/2023)
RR
Virgin Islands(1/18/2023)
RR
Virginia(1/18/2023)
RR
Washington(1/18/2023)
RR
West Virginia(1/18/2023)
RR
Wisconsin(1/18/2023)
RR
Wyoming(1/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.
CRD#: 36368 / SEC#: , 8-47198
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
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.
