Francis Gregory
Professional summary
Francis Gregory, who also goes by Francis Maria Gregory, Frank Gregory, is a registered financial professional currently at FOUR POINTS CAPITAL PARTNERS LLC located in East Amherst, New York.
Francis is registered as a RR (Registered Representative) and started their career in finance in 1999. Francis has worked at 7 firms and has passed the Series 66, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francis Gregory's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 1, 2019 - Present
FOUR POINTS CAPITAL PARTNERS LLC
June 11, 2018 - August 1, 2019
DREXEL HAMILTON, LLC
November 24, 2014 - June 13, 2016
BPV CAPITAL MANAGEMENT, LLC
October 2, 2014 - June 10, 2016
FORESIDE FUND SERVICES, LLC
July 7, 2014 - September 19, 2014
ALPS DISTRIBUTORS, INC.
April 30, 2001 - May 23, 2013
LORD, ABBETT & CO. LLC
December 22, 1999 - May 23, 2013
LORD ABBETT DISTRIBUTOR LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/18/2022)
(5/1/2020)
(8/1/2019)
(8/5/2019)
(8/1/2019)
(8/1/2019)
(12/22/2020)
(4/10/2020)
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsFINRA
Current Firm
FOUR POINTS CAPITAL PARTNERS LLC
CRD#: 43149 / SEC#: , 8-50162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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