Richard A. Degregorio
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.
Richard Allen Degregorio JR, who also goes by Richard A Jr Degregorio, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 6, Series 53, Series 4 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
November 30, 2015 - December 17, 2015
ABD RETIREMENT SERVICES, INC.
November 18, 2015 - December 18, 2015
ARMORY SECURITIES, LLC
September 3, 2015 - December 18, 2015
MAXWELLFORT INVESTMENTS, LP
August 19, 2015 - December 18, 2015
MORGAN CREEK CAPITAL DISTRIBUTORS, LLC
September 30, 2013 - March 18, 2015
DETWILER FENTON & CO.
July 26, 2002 - October 15, 2012
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
May 15, 2001 - July 18, 2002
H.C.WAINWRIGHT & CO., LLC
July 19, 1996 - May 21, 2001
TUCKER ANTHONY INCORPORATED
September 12, 1994 - July 24, 1996
OSAIC FS, INC.
November 8, 1993 - September 9, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 8, 1993 - September 9, 1994
SIGNATOR INVESTORS, INC.
March 9, 1992 - September 9, 1994
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Primary Firm SEC Registration
ABD RETIREMENT SERVICES, INC.
CRD#: 167641 / SEC#: 801-80234, 8-69271
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: 6/11/2001
Limited Representative-Equity Trader ExamCurrent Firm
ABD RETIREMENT SERVICES, INC.
CRD#: 167641 / SEC#: 801-80234, 8-69271
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 63 |
| AUM (Assets Under Management) | $ 649,333,744 |
Red Flags
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