Gregory J. Figaro
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.
Gregory Joseph Figaro, AIF®, who also goes by Figgy Figaro, Greg Figaro, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1994. Gregory had worked at 7 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2002 - April 3, 2023
SAGE ADVISORY SERVICES LTD CO
January 3, 2002 - November 24, 2009
SAGE FINANCIAL, LLC
June 20, 2000 - August 4, 2000
TOUCHTRADE.COM, INC.
June 21, 1999 - April 19, 2000
RIVIERE SECURITIES LTD.
December 18, 1997 - February 18, 1999
BARTON CREEK CAPITAL CORPORATION
April 19, 1995 - September 4, 1997
TEJAS SECURITIES GROUP, INC.
May 24, 1994 - April 24, 1995
APS FINANCIAL CORPORATION
Primary Firm SEC Registration
SAGE ADVISORY SERVICES LTD CO
CRD#: 106236 / SEC#: 801-52937
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
Series 55
Date: 6/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
SAGE ADVISORY SERVICES LTD CO
CRD#: 106236 / SEC#: 801-52937
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,206 |
| AUM (Assets Under Management) | $ 24,975,056,606 |
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.
