William G. Vincent
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.
William Gregory Vincent, who also goes by Greg VIncent, W. Gregory Vincent, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 5 firms and has passed the Series 63, Series 7 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
June 6, 2006 - November 10, 2009
THOMAS GROUP CAPITAL
February 10, 2004 - February 7, 2006
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2002 - July 8, 2003
WAMU INVESTMENTS, INC.
July 20, 2000 - December 31, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 26, 1998 - June 14, 1999
J.C. BRADFORD & CO.
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
THOMAS GROUP CAPITAL
CRD#: 112901 / SEC#: , 8-53273
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMAS GROUP CAPITAL, LLC | DIRECT OWNER | |
| BORBONE, THOMAS | PRESIDENT/CEO/CCO | 1713376 |
Disclosures
| Regulatory Event | 5 |
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.
