James R. Gregath
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.
James Reed Gregath JR, who also goes by James Reed Gregath, Skip Gregath, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1997. James had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
November 24, 2015 - June 13, 2016
ESF EQUITY, LP
October 6, 2014 - September 30, 2015
SELECT CAPITAL CORPORATION
November 5, 2009 - October 5, 2012
SELECT CAPITAL CORPORATION
April 27, 2007 - November 4, 2009
PRIVATE ASSET GROUP, INC.
March 23, 2007 - November 5, 2009
PRIVATE ASSET ADVISORS, INC.
August 7, 2006 - March 22, 2007
DIRECT CAPITAL SECURITIES, INC.
September 15, 2004 - April 28, 2005
MCL FINANCIAL GROUP, INC.
January 16, 2003 - January 12, 2004
SENTRA SECURITIES CORPORATION
December 20, 2002 - January 12, 2004
SENTRA SECURITIES CORPORATION
November 12, 2002 - December 20, 2002
SPELMAN & CO., INC.
March 26, 2000 - December 20, 2002
SPELMAN & CO., INC.
November 24, 1997 - July 19, 1999
MML INVESTORS SERVICES, LLC
January 8, 1997 - October 8, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 8, 1997 - October 8, 1997
EQUITABLE ADVISORS, LLC
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
Current Firm
ESF EQUITY, LP
CRD#: 173087 / SEC#: , 8-69530
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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.
