Erik R. Degregorio
Professional summary
Erik Ronald Degregorio, ChFC®, CLU®, who also goes by Erik R Degregorio, is a registered financial professional currently at THE NEW PENFACS INC. located in Southborough, Massachusetts.
Erik is registered as a RR (Registered Representative) and started their career in finance in 1993. Erik has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erik Ronald Degregorio's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2008 - Present
THE NEW PENFACS INC.
Office #1: 337 Turnpike Road Suite 203, Southborough, MA 01772Office #2: 337 Turnpike Road Suite 203, Southborough, MA 01772September 14, 2006 - June 20, 2008
MOORS & CABOT FINANCIAL ADVISORS, LLC
March 23, 2005 - December 26, 2008
MOORS & CABOT, INC.
August 31, 1999 - March 30, 2005
OGILVIE SECURITY ADVISORS CORPORATION
January 1, 1998 - August 30, 1999
PRINCIPAL SECURITIES, INC.
July 23, 1993 - January 6, 1998
OSAIC FS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2013)
(3/10/2010)
(10/18/2019)
(11/21/2023)
(4/17/2009)
(10/2/2014)
(3/13/2015)
(1/2/2009)
(9/15/2018)
(8/21/2014)
(2/21/2024)
(7/7/2025)
(1/21/2009)
(9/13/2021)
(1/16/2015)
(10/6/2020)
(9/10/2021)
(10/7/2021)
(5/23/2014)
(9/7/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
THE NEW PENFACS INC.
CRD#: 145584 / SEC#: , 8-67738
Contact information
FINRA licenses (20 States and Territories)
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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Company Information
THE NEW PENFACS INC.
CRD#: 145584Southborough, MA 01772TRUST BUT VERIFY
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