Michael J. Gregg

DAVID LERNER ASSOCIATES

Syosset, NY 11791-4510

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CRD#: 2145177

Professional summary

Michael John Gregg is a registered financial professional currently at DAVID LERNER ASSOCIATES, INC. located in Syosset, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Michael John Gregg's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 11, 2010 - Present

DAVID LERNER ASSOCIATES, INC.

Office #1: 477 Jericho Turnpike, Syosset, NY 11791-4510

CRD#: 5397

Syosset, NY

Past

January 15, 2009 - January 4, 2010

HSBC SECURITIES (USA) INC.

CRD#: 19585

MILLER PLACE, NY

Past

April 6, 2006 - December 5, 2007

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

January 1, 2005 - September 14, 2005

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

July 27, 2000 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

May 3, 1999 - June 16, 2000

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 7, 1994 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(7/13/2015)

New Jersey
(5/1/2018)

New York
(5/11/2010)

Exams

State Security Law Exam

Series 63

Date: 6/1/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/6/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397 / SEC#: , 8-20746

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006

Mailing Address

477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006

Phone number

(516) 921-4200

Established

New York since 11/06/1975

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LERNER, DAVID	SHAREHOLDER	307120
HOLEMAN, ALLEN BERNARD	CHIEF COMPLIANCE OFFICER	1060910
SANTOS, ERIKA VALERIA	FINOP	6218921
WALCOE, MARTIN KEVIN	PRESIDENT	1593935

Disclosures

Regulatory Event	22
Arbitration	19

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael J. Gregg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Gregg's CRS (Customer Relationship Summary).

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/1/1994

SIE

Date: 10/1/2018

Series 6

Date: 4/6/1994

FINRA

Current Firm

DAVID LERNER ASSOCIATES, INC.

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DAVID LERNER ASSOCIATES, INC.

TRUST BUT VERIFY

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