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GS

Gregg Suffredini

Some features on this profile are disabled
CRD#: 2829717
GS

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.

Gregg Suffredini was a registered financial professional .

Gregg is a previously registered financial professional and started their career in finance in 1997. Gregg had worked at 2 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 1, 2012 - February 20, 2013

SUNGARD INSTITUTIONAL BROKERAGE INC.

BD
CRD#: 8509
WEYMOUTH, MA
Past

April 7, 2006 - September 14, 2007

SUNGARD INSTITUTIONAL BROKERAGE INC.

BD
CRD#: 8509
GENEVA, IL
Past

November 5, 1997 - August 3, 1998

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/6/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/27/2011
General Securities Representative Examination

Current Firm

SI
SUNGARD INSTITUTIONAL BROKERAGE INC.
SHAW DATA SECURITIES | SUNGARD.NET | SUNGARD INSTITUTIONAL BROKERAGE INC. | SUNGARD GLOBAL NETWORK | SHAW DATA SECURITIES, INC.

CRD#: 8509 / SEC#: , 8-25844

BD
Terminated by SEC on 02/24/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/28/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SUNGARD INVESTMENT VENTURES LLC.SHAREHOLDER
CARVER, JASON MATTHEWCHIEF FINANCIAL OFFICER4681802
DONNELLAN, ANDREW B JR.DIRECTOR4903697
MAYO, STEPHANIE ANNSENIOR MANAGING DIRECTOR, BUSINESS OPERATIONS/DIRECTOR5048684
MEADE, CHRISTOPHER HILARYSR. MANAGING DIRECTOR COMPLIANCE & OPERATIONS/ CHIEF COMPLIANCE OFFICER2629159
SANTELLA, ROBERT ANTHONYCEO/ PRESIDENT/ DIRECTOR2385977
VALLOW, RONALD ELLIS JR.CONTROLLER/FINOP4948582

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SUNGARD INSTITUTIONAL BROKERAGE INC.

CRD#: 8509

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