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GT

Gregg D. Thatcher

ASCENDIANT CAPITAL MARKETS
IRVINE, CA 92614
Some features on this profile are disabled
CRD#: 2639543
GT

Professional summary

Gregg David Thatcher is a registered financial professional currently at ASCENDIANT CAPITAL MARKETS, LLC located in Irvine, California.

Gregg is registered as a RR (Registered Representative) and started their career in finance in 1995. Gregg has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregg David Thatcher's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 4, 2013 - Present

ASCENDIANT CAPITAL MARKETS, LLC

Office #1: 4 Park Plaza, Suite 1950, Irvine, CA 92614
BD
CRD#: 152912
IRVINE, CA
Past

June 23, 1999 - May 23, 2013

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

December 24, 1996 - June 23, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 25, 1995 - January 1, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/4/2013)
RR
Michigan
(10/11/2013)
RR
Ohio
(10/28/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ASCENDIANT CAPITAL MARKETS, LLC
ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912 / SEC#: , 8-68487

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
110 Front Street, Suite 300, Jupiter, FL 33477
Mailing Address
4 Park Plaza, Suite 1950, Irvine, CA 92614
Phone number
(949) 259-4900
Established
Nevada since 01/04/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASCENDIANT CAPITAL PARTNERS, LLCPARENT CO / SOLE MEMBER
BERGENDAHL, MARK ALLANPRESIDENT1394272
BROWN, MICHAEL OWENCFO/ FINOP1658070
MEGENITY, BRIAN MCDONALDCCO2889637
WILHITE, BRADLEYCHIEF OPERATING OFFICER4722291

Disclosures

Regulatory Event10

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.

Company Information

ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912Irvine, CA 92614

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