Gregg Z. Schonhorn
Professional summary
Gregg Z Schonhorn was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregg is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Gregg had worked at 8 firms, which includes FHN FINANCIAL SECURITIES CORP., SANTANDER US CAPITAL MARKETS LLC, PIERPONT CAPITAL ADVISORS LLC, MF GLOBAL INC., JEFFERIES LLC, BONDS DIRECT SECURITIES LLC, BNY MELLON SECURITIES LLC, GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2013 - January 10, 2017
FHN FINANCIAL SECURITIES CORP.
October 23, 2012 - May 15, 2013
SANTANDER US CAPITAL MARKETS LLC
January 3, 2012 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
September 10, 2010 - December 5, 2011
MF GLOBAL INC.
November 1, 2004 - September 20, 2010
JEFFERIES LLC
December 17, 2003 - November 1, 2004
BONDS DIRECT SECURITIES LLC
August 31, 2001 - December 19, 2003
BNY MELLON SECURITIES LLC
March 31, 1994 - August 21, 2001
GRUNTAL & CO., L.L.C.
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
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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