Gregory A. Gurriero
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 Anthony Gurriero was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1992. Gregory had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2000 - November 12, 2001
TRADITION SECURITIES AND DERIVATIVES LLC
February 17, 2000 - April 12, 2000
NATIVE NATIONS SECURITIES, INC.
August 25, 1999 - February 7, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
July 8, 1996 - February 2, 2000
ICAP SECURITIES USA LLC
March 10, 1994 - February 2, 2000
GARBAN CAPITAL MARKETS LLC
March 5, 1994 - February 2, 2000
INTERCAPITAL SECURITIES LLC
December 7, 1993 - March 11, 1994
COMMONWEALTH ASSOCIATES
May 3, 1993 - December 17, 1993
HIBBARD BROWN & CO., INC.
April 20, 1992 - May 19, 1993
HANOVER, STERLING & COMPANY LTD.
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
Current Firm
TRADITION SECURITIES AND DERIVATIVES LLC
CRD#: 28269 / SEC#: , 8-43559
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | MEMBER | |
| BACCALA, RAYMOND CHARLES | PRESIDENT | 1000495 |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| GANGI, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2909843 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | 5187937 |
| MARTUSCELLO, MICHAEL HENRY II | CHIEF COMPLIANCE OFFICER - FIXED INCOME | 5359170 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER - EQUITIES/OPTIONS | 3154976 |
| RICCIARDI, JUDITH ANN | MANAGER, CHIEF FINANCIAL OFFICER, SECRETARY, TREASURER, FINOP, PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER | 1534635 |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 32 |
Red Flags
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