Gregory R. Scharlach
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 Robert Scharlach, who also goes by Greg Scharlach, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1995. Gregory had worked at 6 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 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 27, 2014 - June 19, 2015
CUE FINANCIAL GROUP, INC.
February 25, 2014 - June 25, 2015
FOOTHILL SECURITIES, INC.
February 23, 2010 - December 31, 2013
CUE FINANCIAL GROUP, INC.
January 4, 2010 - December 31, 2013
FOOTHILL SECURITIES, INC.
September 17, 2009 - December 15, 2009
B. RILEY WEALTH MANAGEMENT
November 24, 1998 - December 9, 1999
MORGAN STANLEY DW INC.
December 19, 1996 - December 11, 1998
PIPER SANDLER & CO.
October 10, 1995 - January 3, 1997
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
CUE FINANCIAL GROUP, INC.
CRD#: 21033 / SEC#: 801-66538, 8-38647
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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