Richard S. Gregory
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.
Richard Scott Gregory, who also goes by Scott Gregory, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 4 firms and has passed the Series 63, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2002 - March 10, 2003
LONE STAR SECURITIES, INC.
May 18, 2000 - August 29, 2000
MORGAN SPAULDING, INC.
January 22, 1999 - December 15, 1999
SALOMON GREY FINANCIAL CORPORATION
March 7, 1998 - December 31, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
January 1, 1997 - June 3, 1997
LONE STAR SECURITIES, 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 62
Date: 8/11/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
LONE STAR SECURITIES, INC.
CRD#: 20452 / SEC#: , 8-38254
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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