Gregory R. Valliere
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 R. Valliere, who also goes by Gregory R Valliere, Gregory Riley Valliere, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1995. Gregory had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2017 - February 12, 2019
QUASAR DISTRIBUTORS, LLC
February 16, 2012 - September 28, 2015
IRC SECURITIES LLC
June 7, 2011 - December 1, 2011
CAPFI PARTNERS LLC
March 26, 2009 - January 15, 2010
SOLEIL SECURITIES CORPORATION
November 10, 2004 - March 9, 2009
STANFORD GROUP COMPANY
June 2, 2003 - November 9, 2004
CHARLES SCHWAB & CO., INC.
September 2, 2000 - June 10, 2003
UBS CAPITAL MARKETS L.P.
November 1, 1996 - September 7, 2000
CHARLES SCHWAB & CO., INC.
August 29, 1995 - November 1, 1996
LYNCH, JONES & RYAN 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
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
