Dean F. 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.
Dean Fredrick Gregory, who also goes by Dean F Gregory, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1999. Dean had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
January 4, 2017 - March 14, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2017 - March 14, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 28, 2015 - February 29, 2016
PRINCIPAL SECURITIES, INC.
January 2, 2013 - May 19, 2015
WADDELL & REED
January 2, 2013 - May 19, 2015
WADDELL & REED
June 6, 2011 - October 10, 2012
SECURITIES AMERICA ADVISORS, INC.
April 12, 2011 - October 10, 2012
SECURITIES AMERICA, INC.
January 4, 2005 - September 7, 2007
TOWER SQUARE SECURITIES, INC.
November 3, 2004 - December 31, 2004
TOWER SQUARE SECURITIES, INC.
November 3, 2004 - September 7, 2007
TOWER SQUARE SECURITIES, INC.
January 6, 2004 - November 24, 2004
NEXT FINANCIAL GROUP, INC.
January 6, 2004 - November 24, 2004
NEXT FINANCIAL GROUP, INC.
October 10, 2002 - December 31, 2003
CETERA INVESTMENT ADVISERS LLC
February 15, 2002 - December 31, 2003
CAPITAL BROKERAGE CORPORATION
October 16, 2000 - December 13, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 3, 1999 - October 3, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
