Lois E. Gregson
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.
Lois Elaine Gregson, who also goes by Lois E Gregson, Lois Elaine Schilling, was a registered financial professional .
Lois is a previously registered financial professional and started their career in finance in 1994. Lois had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2018 - August 30, 2019
FIDUCIARY ADVISORS, INC.
December 9, 2016 - March 14, 2017
LPL FINANCIAL LLC
July 27, 2016 - March 14, 2017
LPL FINANCIAL LLC
April 3, 2014 - March 1, 2016
SCOTTRADE, INC.
February 26, 1999 - February 10, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 13, 1994 - February 10, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Primary Firm SEC Registration
FIDUCIARY ADVISORS, INC.
CRD#: 108239 / SEC#: 801-57763
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
FIDUCIARY ADVISORS, INC.
CRD#: 108239 / SEC#: 801-57763
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 388 |
| AUM (Assets Under Management) | $ 1,731,300,456 |
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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