Gregory J. Fuller
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 James Fuller, who also goes by Greg James Fuller, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2003. Gregory had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2021 - April 16, 2026
KESTRA ADVISORY SERVICES, LLC
August 3, 2021 - April 16, 2026
KESTRA INVESTMENT SERVICES, LLC
May 28, 2013 - June 3, 2021
ARBOR POINT ADVISORS
August 2, 2012 - June 3, 2021
SECURITIES AMERICA ADVISORS, INC.
March 11, 2011 - June 3, 2021
SECURITIES AMERICA, INC.
May 12, 2006 - February 11, 2011
QA3 FINANCIAL CORP.
April 22, 2006 - May 9, 2006
TD AMERITRADE, INC.
May 8, 2003 - April 22, 2006
TD AMERITRADE CLEARING, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 7/7/2004
Limited Representative-Equity Trader ExamCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
