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Gregory A Zikos

CRD# 3120274·Registered 1998 - 2016
Previously Registered: Being a previously registered professional could mean that Gregory 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.

Professional Summary

Gregory A Zikos was a registered financial advisor. Gregory was a previously registered financial professional and started their career in finance 1998 - 2016. Gregory had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

RENAISSANCE MACRO SECURITIES, LLC·CRD# 163927
BD
San Francisco, CA
December 8, 2014 - January 22, 2016
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
RIA
Boston, MA
May 15, 2012 - December 5, 2014
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
Boston, MA
May 14, 2012 - December 5, 2014
LPL FINANCIAL LLC·CRD# 6413
RIA
Ontario, CA
July 5, 2011 - May 29, 2012
LPL FINANCIAL LLC·CRD# 6413
BD
Ontario, CA
July 5, 2011 - May 29, 2012
UVEST FINANCIAL SERVICES GROUP, INC.·CRD# 13787
BD
Ontario, CA
March 4, 2011 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.·CRD# 13787
RIA
Ontario, CA
March 2, 2011 - July 5, 2011
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
Los Angeles, CA
October 1, 2008 - March 11, 2009
J.P. MORGAN SECURITIES INC.·CRD# 18718
BD
Los Angeles, CA
May 18, 2007 - October 1, 2008
LEHMAN BROTHERS INC.·CRD# 7506
RIA
Los Angeles, CA
May 19, 2004 - March 8, 2007
LEHMAN BROTHERS INC.·CRD# 7506
BD
Los Angeles, CA
October 15, 1998 - March 8, 2007

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Current Firm

RM
RENAISSANCE MACRO SECURITIES, LLC

RENAISSANCE MACRO SECURITIES, LLC

CRD#: 163927 / SEC#: 8-69079
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

9 Old King's Highway S 3rd Fl, Darien, CT 06820

Mailing Address

9 Old King's Highway S 3rd Fl, Darien, CT 06820

Phone Number

(212) 537-8811

Established

Delaware since 07/26/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (11 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
RENAISSANCE MACRO HOLDINGS, LLCMEMBER—
DEGRAAF, JEFFREY SCOTTEXECUTIVE MANAGING DIRECTOR2202699
DEGRAAF, JEFFREY SCOTTCHIEF COMPLIANCE OFFICER2202699
DUTTENHOFER, STEPHEN MATTHEWGENERAL SECURITIES PRINCIPAL2517485
VEGA, DOREEN LEMAFINOP/ PFO /POO5364084

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1998About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2016About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Nov 1998About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Oct 1998About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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