Gregory L. Oldham
Professional summary
Gregory Lee Oldham was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Gregory had worked at 5 firms, which includes ADVANCED PLANNING CAPITAL CORPORATION, ALLIED BEACON PARTNERS INC., ADVANCED PLANNING SECURITIES INC., USALLIANZ SECURITIES INC., INVESTORS CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2009 - December 20, 2010
ADVANCED PLANNING CAPITAL CORPORATION
December 26, 2008 - December 6, 2010
ALLIED BEACON PARTNERS, INC.
August 26, 2004 - December 31, 2008
ADVANCED PLANNING SECURITIES, INC.
April 20, 2000 - August 27, 2004
USALLIANZ SECURITIES, INC.
July 16, 1999 - April 27, 2000
INVESTORS CAPITAL CORP.
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
ADVANCED PLANNING CAPITAL CORPORATION
CRD#: 143678 / SEC#:
Contact information
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.
