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GF

Gregory L. Florio

SUPERVISION PARTNERS LLC
New York, NY 10022
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CRD#: 4126029
GF

Professional summary


Gregory Lee Florio is a registered financial professional currently at SUPERVISION PARTNERS LLC located in New York, New York.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 2000. Gregory has worked at 2 firms and has passed the Series 63, Series 66, Series 82TO, Series 31, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

Other business activities


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.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Gregory Lee Florio's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

June 17, 2020 - Present

SUPERVISION PARTNERS LLC

Office #1: 641 Lexington Avenue Fl 17, New York, NY 10022Office #2: 641 Lexington Avenue Fl 17, New York, NY 10022
BD
CRD#: 300528
New York, NY
Past

April 10, 2000 - October 9, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/12/2022)
RR
Florida
(2/19/2022)
RR
Georgia
(1/18/2022)
RR
Massachusetts
(6/10/2022)
RR
Missouri
(12/22/2024)
RR
Nevada
(3/4/2022)
RR
New Hampshire
(5/29/2024)
RR
New York
(6/30/2020)
RR
Texas
(6/18/2022)
RR
Utah
(1/7/2022)
RR
Washington
(1/28/2022)

Exams


State Security Law Exam
RR
Series 63
Date: 5/31/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/24/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 31
Date: 5/4/2000
Futures Managed Funds Examination
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 14
Date: 6/7/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/15/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm


SP
SUPERVISION PARTNERS LLC
COMPLIANCE FIRST BROKERAGE, LLC | SUPERVISION PARTNERS LLC | SUPERVISION BROKERAGE LLC

CRD#: 300528 / SEC#: , 8-70315

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information


Main Address
641 Lexington Avenue Fl 17, New York, NY 10022
Mailing Address
641 Lexington Avenue Fl 17, New York, NY 10022
Phone number
(212) 257-5790
Established
New York since 11/25/2015
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (32 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
COMPLIANCE FIRST, LLCMANAGING MEMBER
FLORIO, GREGORY LEECHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER4126029
LEAHY, JAMES MICHAELFINOP5647281

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.

Company Information


SUPERVISION PARTNERS LLC

CRD#: 300528New York, NY 10022

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