Henrique M. Gregorio
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.
Henrique M Gregorio, who also goes by Henri Gregorio, Henrique Ml Gregorio, Henry Gregorio, Henrique M Gregorio, was a registered financial professional .
Henrique is a previously registered financial professional and started their career in finance in 1993. Henrique had worked at 4 firms and has passed the Series 65, Series 63, Series 3 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 23, 2008 - May 24, 2013
BRICKELL GLOBAL MARKETS, INC.
January 23, 2007 - April 29, 2008
UBS FINANCIAL SERVICES INC.
January 17, 2007 - April 29, 2008
UBS FINANCIAL SERVICES INC.
January 31, 2001 - May 17, 2005
CITIGROUP GLOBAL MARKETS INC.
June 8, 1993 - February 15, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BRICKELL GLOBAL MARKETS, INC.
CRD#: 104316 / SEC#: , 8-52776
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANESCO USA | SHAREHOLDER | |
| CUCCIA, GARY JOHN | FINOP/CONTACT PERSON FOR FORM BDW/CCO/EXECUTIVE REPRESEANTATIVE | 1386493 |
| ESCOTET, MARIA MERCEDES | DIRECTOR |
Disclosures
| Regulatory Event | 5 |
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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