Gregory W. Liles
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 Wayne Liles was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1995. Gregory had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2009 - August 28, 2012
FINANCIAL TELESIS INC
March 5, 2007 - March 20, 2009
PRINCIPAL SECURITIES, INC.
November 26, 2003 - January 16, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 25, 2003 - March 13, 2003
MMC SECURITIES LLC
June 13, 1995 - September 22, 1999
ROBERT W. BAIRD & CO. INCORPORATED
June 13, 1995 - February 1, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
Exams
Current Firm
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
Red Flags
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