Gregory Wilson
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 Wilson, who also goes by Gregory K Wilson, Gregory Keith Wilson, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2014. Gregory had worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2021 - February 6, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
September 30, 2020 - July 21, 2021
PFS INVESTMENTS INC.
March 21, 2019 - February 27, 2020
WALTON RE SECURITIES, LLC
August 4, 2015 - December 18, 2018
1ST GLOBAL ADVISORS INC
October 31, 2014 - December 18, 2018
1ST GLOBAL CAPITAL CORP.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD#: 7325 / SEC#: , 8-1369
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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