Richard M. Gregory
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 Macpherson Gregory was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1969. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2005 - November 10, 2005
GREGORY FINANCIAL SERVICES L.L.C.
October 2, 1998 - December 20, 2005
FSC SECURITIES CORPORATION
January 7, 1976 - October 23, 1998
CHURCH, GREGORY, ADAMS SECURITIES CORPORATION
June 3, 1975 - December 3, 1975
CAL-WIN SECURITIES CORPORATION
December 4, 1974 - April 1, 1975
NATIONSBANC SECURITIES OF GEORGIA, INC.
June 17, 1969 - September 23, 1974
FINANCIAL SERVICE CORPORATION OF AMERICA
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 1
Date: 6/11/1969
Registered Representative ExaminationSeries 00
Date: 11/19/1975
General Securities Principal ExaminationCurrent firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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