Gregory D. Rollins
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 Dean Rollins, who also goes by Gregory D Rollins, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1998. Gregory had worked at 10 firms and has passed the Series 63, SIE, Series 55, 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
December 18, 2019 - September 20, 2023
ICAPITAL SECURITIES, LLC
April 8, 2019 - August 15, 2019
BLUEROCK CAPITAL MARKETS LLC
September 30, 2015 - February 8, 2019
FORESIDE FUND SERVICES, LLC
April 17, 2013 - September 2, 2015
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 1, 2013 - February 5, 2013
EQUITABLE ADVISORS, LLC
June 5, 2006 - April 18, 2012
JEFFERIES LLC
April 24, 2006 - May 26, 2006
NEEDHAM & COMPANY, LLC
March 12, 2001 - May 25, 2005
UBS SECURITIES LLC
May 21, 1999 - March 12, 2001
UBS FINANCIAL SERVICES INC.
August 3, 1998 - April 6, 1999
CITIGROUP GLOBAL MARKETS 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: 8/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
ICAPITAL SECURITIES, LLC
CRD#: 171061 / SEC#: , 8-69443
Contact information
Documents
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.
