Gregory Caione
Professional summary
Gregory Caione is a registered financial professional currently at SPROTT GLOBAL RESOURCE INVESTMENTS LTD located in Darien, Connecticut.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 2005. Gregory has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Caione's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2016 - Present
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
Office #1: 320 Post Road Suite 200, Darien, CT 06820December 6, 2007 - February 26, 2016
COMMONWEALTH AUSTRALIA SECURITIES LLC
June 5, 2006 - October 15, 2007
BNP PARIBAS SECURITIES CORP.
November 8, 2005 - June 5, 2006
KPMG CORPORATE FINANCE 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
(11/21/2016)
Exams
FINRA
Current Firm
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
CRD#: 35878 / SEC#: , 8-47039
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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