Gregory B. Poulton
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 B Poulton, who also goes by Gregory Boyd Poulton, Greg Poulton, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1998. Gregory had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2018 - April 2, 2019
CHARLES SCHWAB & CO., INC.
August 27, 2018 - April 2, 2019
CHARLES SCHWAB & CO., INC.
November 9, 2012 - May 12, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 2, 2012 - May 12, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - October 31, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 31, 2012
J.P. MORGAN SECURITIES LLC
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 9, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
July 2, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
June 4, 2008 - July 2, 2008
COMMONWEALTH FINANCIAL NETWORK
October 22, 2004 - June 3, 2008
COMMONWEALTH FINANCIAL NETWORK
October 22, 2004 - July 2, 2008
COMMONWEALTH FINANCIAL NETWORK
June 3, 2003 - November 1, 2004
RBC CAPITAL MARKETS, LLC
June 3, 2003 - November 1, 2004
RBC CAPITAL MARKETS, LLC
November 19, 1999 - April 1, 2003
STRATEGIC ADVISERS LLC
January 14, 1999 - March 27, 2003
FIDELITY BROKERAGE SERVICES LLC
May 29, 1998 - November 9, 1998
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
