Michelle S. Gregory
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.
Michelle S. Gregory, who also goes by Michelle S Gregory, Shelly Gregory, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1998. Michelle had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2024 - December 31, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 17, 2015 - December 31, 2024
RAYMOND JAMES & ASSOCIATES, INC.
August 4, 2015 - December 31, 2024
RAYMOND JAMES & ASSOCIATES, INC.
January 2, 2015 - March 10, 2015
MSI FINANCIAL SERVICES, INC.
December 19, 2012 - March 10, 2015
MSI FINANCIAL SERVICES, INC.
October 29, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
October 29, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
March 12, 1998 - June 3, 2010
UBS FINANCIAL SERVICES 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
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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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