William J. Gregorio
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.
William Joseph Gregorio was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 7 firms and has passed the Series 63, SIE, Series 55 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
February 28, 2006 - December 31, 2019
G.RESEARCH, LLC
August 10, 2005 - February 16, 2006
LABRANCHE FINANCIAL SERVICES, LLC
November 9, 2004 - August 12, 2005
HUDSON SECURITIES,INC.
February 13, 2004 - November 5, 2004
BROKERAGEAMERICA, LLC
April 29, 1999 - December 4, 2002
APEX CLEARING CORPORATION
February 18, 1998 - April 26, 1999
UBS FINANCIAL SERVICES INC.
November 7, 1997 - February 6, 1998
NEBRASKA HUDSON COMPANY, INC.
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 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
G.RESEARCH, LLC
CRD#: 7353 / SEC#: , 8-21373
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN GROUP HOLDING CO. | PARENT COMPANY/OWNER | |
| AMABILE, VINCENT M | PRESIDENT | 4356758 |
| FERNANDEZ, JOSEPH LOUIS | FINANCIAL AND OPERATIONS PRINCIPAL | 1968118 |
| GOLDMAN, DAVID MARC | ASSISTANT SECRETARY | 3191963 |
| GREENHAW, PAUL DANIEL | CHIEF COMPLIANCE OFFICER | 1820935 |
| MCGINITY, CORNELIUS VINCENT | OFFICE OF THE CHAIRMAN | 1706960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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