Gregory L. Koertgen
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 Leo Koertgen was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1993. Gregory had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2014 - April 27, 2015
SAYBRUS EQUITY SERVICES, LLC
July 10, 2013 - April 10, 2014
VALIC FINANCIAL ADVISORS, INC.
January 18, 2013 - April 10, 2014
VALIC FINANCIAL ADVISORS, INC.
January 4, 2010 - July 12, 2011
ASSOCIATED FINANCIAL SERVICES, INC.
January 15, 2008 - March 4, 2009
CAPITAL BROKERAGE CORPORATION
December 22, 2000 - January 20, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 28, 1993 - January 18, 1994
NYLIFE SECURITIES LLC
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
SAYBRUS EQUITY SERVICES, LLC
CRD#: 153319 / SEC#: , 8-68521
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAYBRUS HOLDINGS, LLC | PARENT COMPANY | |
| ALI, AZIZ | VICE PRESIDENT | 5030560 |
| CASSIDY, EDWARD WILLIAM JR | EXEC. VP / INTERNAL DIRECTOR | 1606787 |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| HALPERIN, JEFFREY PAUL | INTERNAL DIRECTOR | 2899327 |
| LOWE, MOIRA CRONAN | PRESIDENT / CEO / INTERNAL DIRECTOR | 4076427 |
| MOORE, GIDEON CLOYES | CHIEF LEGAL OFFICER | 7011735 |
| SADOWSKI, ADAM MARK | ASSISTANT VICE PRESIDENT | 4578505 |
| SIINO, KATHERINE MARY | AVP & CHIEF COMPLIANCE OFFICER | 1666402 |
| TOMKO, CHRISTINE | CFO, PFO, POO | 6989991 |
| VIETRI, MICHAEL JOSEPH | INTERNAL DIRECTOR | 1068983 |
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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