Gregg W. Band
Professional summary
Gregg William Band, CIMA® is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in Chicago, Illinois.
Gregg is registered as a RR (Registered Representative) and started their career in finance in 1994. Gregg has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregg William Band's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2011 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 10 South Dearborn, Chicago, IL 60603October 20, 2008 - November 10, 2009
J.P. MORGAN INVESTMENT MANAGEMENT INC.
December 20, 2005 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
February 6, 2001 - December 5, 2005
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 27, 2000 - May 4, 2001
CGS FINANCIAL INC.
November 20, 1996 - November 27, 2000
SIMMONS & BISHOP CO. INC.
July 29, 1996 - November 20, 1996
GLOBAL FINANCIAL GROUP, INC.
April 8, 1994 - September 22, 1995
FOSTER JEFFRIES SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2011)
Exams
Series 55
Date: 4/4/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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