Gregory W. Mccloskey
Professional summary
Gregory Walter Mccloskey was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Gregory had worked at 11 firms, which includes QUIVER FINANCIAL HOLDINGS LLC, WESTPARK CAPITAL INC., NEWPORT COAST SECURITIES INC., B. RILEY WEALTH ADVISORS INC., NATIONAL SECURITIES CORPORATION, WEDBUSH SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, OSAIC FS INC., SII INVESTMENTS INC., MORGAN STANLEY DW INC., CENTAURUS FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2020 - April 22, 2021
QUIVER FINANCIAL HOLDINGS LLC
July 18, 2016 - November 5, 2019
WESTPARK CAPITAL, INC.
July 18, 2016 - November 5, 2019
WESTPARK CAPITAL, INC.
January 10, 2008 - July 20, 2016
NEWPORT COAST SECURITIES, INC.
December 21, 2007 - July 20, 2016
NEWPORT COAST SECURITIES, INC.
August 3, 2007 - January 15, 2008
B. RILEY WEALTH ADVISORS, INC.
July 19, 2007 - January 15, 2008
NATIONAL SECURITIES CORPORATION
June 26, 2007 - July 2, 2007
WEDBUSH SECURITIES INC.
June 26, 2007 - July 2, 2007
WEDBUSH SECURITIES INC.
June 9, 2006 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
April 11, 2006 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
October 21, 2003 - April 6, 2006
OSAIC FS, INC.
February 24, 2000 - August 13, 2003
SII INVESTMENTS, INC.
December 15, 1998 - December 22, 1999
MORGAN STANLEY DW INC.
April 27, 1998 - October 26, 1998
CENTAURUS FINANCIAL, INC.
February 12, 1997 - October 14, 1997
CENTAURUS FINANCIAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
QUIVER FINANCIAL HOLDINGS LLC
CRD#: 305224 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 69,500,000 |
Red Flags
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