JG
James E. Gregory
ABN AMRO CLEARING USA LLC
Chicago, IL 60604
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CRD#: 2425204
JG
Professional summary
James Edward Gregory, who also goes by James Edward Gregory Jr, Jim Gregory Jr, is a registered financial professional currently at ABN AMRO CLEARING USA LLC located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Edward Gregory Jr | Jim Gregory Jr
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Edward Gregory's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 26, 2012 - Present
ABN AMRO CLEARING USA LLC
Office #1: 175 West Jackson Blvd Ste 2050, Chicago, IL 60604BD
CRD#: 14020
Chicago, IL
Past
January 2, 2002 - October 12, 2012
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
CHICAGO, IL
Past
April 1, 1999 - December 31, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
October 5, 1998 - March 24, 1999
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
DENVER, CO
Past
March 28, 1994 - October 5, 1998
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
December 6, 1993 - March 30, 1994
JOSEPH ROBERTS & CO., INC.
BD
CRD#: 15971
POMPANO BEACH, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(10/26/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
AA
ABN AMRO CLEARING USA LLC
ABN AMRO CLEARING CHICAGO LLC | SHAMROCK SECURITIES | SHAMROCK OPTIONS | SHAMROCK EQUITY SECURITIES | O'CONNOR & COMPANY LLC | O'CONNOR & COMPANY | FORTIS CLEARING AMERICAS LLC | ABN AMRO CLEARING USA LLC
CRD#: 14020 / SEC#: , 8-34354
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
175 West Jackson Blvd Ste 2050, Chicago, IL 60604
Mailing Address
175 West Jackson Blvd Ste 2050, Chicago, IL 60604
Phone number
(312) 604-8000
Established
Illinois since 06/30/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ABN AMRO CLEARING HOLDINGS USA LLC | SHAREHOLDER | |
| ARNOLD, JEFFREY WAYNE | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2204052 |
| BREAULT, RONALD CLIFFORD | NY BRANCH OFFICE MANAGER | 2253143 |
| BREAULT, RONALD CLIFFORD | CHIEF COMMERCIAL OFFICER | 2253143 |
| DELHEIMER, MICHAEL FRANCIS | VP FINANCE, FINOP, PRINCIPAL FINANCIAL OFFICER | 5567195 |
| DUINSTRA, BOUDEWIJN | CHIEF EXECUTIVE OFFICER | 5504066 |
| ENGELBERTS, PAULINE MATHILDE | DIRECTOR, BOARD MEMBER | 7350692 |
| GILMORE, KEVIN MICHAEL | PRINCIPAL OPERATIONS OFFICER | 3150898 |
| ONEILL, YULIA V | CHICAGO BRANCH OFFICE MANAGER, ROP | 6313470 |
| SCHELLENS, RUTGER VINCENT CONSTANTIJN | DIRECTOR | 6268503 |
| TAYLOR, TIMOTHY JAMES | PRINCIPAL OPERATIONS OFFICER | 1640795 |
| TYRICHTROVA, MONIKA ALEXANDRA | CHIEF COMPLIANCE OFFICER | 4487708 |
Disclosures
| Regulatory Event | 82 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
