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Gregory Flemming

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CRD#: 2882842
GF

Professional summary

Gregory Flemming JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gregory Flemming JR, who also goes by Greg Flemming, Gregory Flemming (ii), was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1997. Gregory had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Greg Flemming | Gregory Flemming (ii)

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

September 25, 2013 - June 29, 2015

SW FINANCIAL

BD
CRD#: 145012
FARMINGDALE, NY
Past

June 11, 2013 - September 24, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

April 1, 2013 - June 11, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

August 30, 2012 - April 5, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
NEW YORK, NY
Past

October 17, 2011 - August 28, 2012

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

August 5, 2008 - October 25, 2011

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
HAUPPAUGE, NY
Past

July 5, 2007 - July 30, 2008

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
ROCKY POINT, NY
Past

January 17, 2007 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
ROCKY POINT, NY
Past

April 30, 2004 - December 20, 2006

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
HUNTINGTON, NY
Past

August 27, 2002 - June 14, 2004

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

January 16, 2001 - August 23, 2002

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

September 24, 1999 - January 16, 2001

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

April 9, 1999 - August 19, 1999

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA
Past

February 11, 1998 - March 17, 1999

D.L. CROMWELL INVESTMENTS, INC.

BD
CRD#: 37730
BOCA RATON, FL
Past

August 18, 1997 - November 13, 1997

R.D. WHITE & CO., INC.

BD
CRD#: 7011
NEW YORK, NY

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: 6/10/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/30/2006
General Securities Principal Examination

Current Firm

SF
SW FINANCIAL
SALOMON WHITNEY FINANCIAL | SW FINANCIAL | SALOMON WHITNEY LLC

CRD#: 145012 / SEC#: , 8-67688

BD
Postponed Effective by SEC on 05/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/11/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ANGIA HOLDINGS, LLC75.1% OWNER

Disclosures

Regulatory Event7
Arbitration7

Red Flags

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

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Company Information

SW FINANCIAL

CRD#: 145012

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