Samuel B. 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.
Samuel Bailey Gregory JR, who also goes by Samuel Bailey Gregory Sr, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1973. Samuel had worked at 8 firms and has passed the Series 63, SIE, Series 1 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
October 9, 2012 - October 1, 2015
COMPASS FINANCIAL ADVISORS LLC
October 9, 2012 - August 28, 2015
FINTEGRA, LLC
January 23, 2003 - December 3, 2012
GREGORY, ZENT & SWANSON INC.
December 23, 1992 - December 18, 2013
FINANCIAL PROFILE SYSTEMS, INC.
November 21, 1988 - January 22, 1994
HORNOR, TOWNSEND & KENT, LLC
October 5, 1988 - November 28, 2012
GREGORY, ZENT & SWANSON INC.
May 19, 1987 - October 24, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 18, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
September 18, 1986 - January 9, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 18, 1973 - January 22, 1994
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
COMPASS FINANCIAL ADVISORS LLC
CRD#: 109131 / SEC#: 801-56002
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: 10/16/1973
Registered Representative ExaminationCurrent Firm
COMPASS FINANCIAL ADVISORS LLC
CRD#: 109131 / SEC#: 801-56002
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 750 |
| AUM (Assets Under Management) | $ 264,674,639 |
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.
