Gregory L. Talcott

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CRD#: 4174726

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 Lee Talcott was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 2000. Gregory had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 4, 2021 - October 15, 2024

TOBIN & COMPANY SECURITIES LLC

CRD#: 137918

CHARLOTTE, NC

Past

May 11, 2020 - December 31, 2020

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

Scottsdale, AZ

Past

August 17, 2018 - April 20, 2020

VIRTUA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 289606

SCOTTSDALE, AZ

Past

July 19, 2018 - April 20, 2020

EMERSON EQUITY LLC

CRD#: 130032

Scottsdale, AZ

Past

January 24, 2017 - March 7, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

April 19, 2016 - March 7, 2018

SCOTTRADE, INC.

CRD#: 8206

CHANDLER, AZ

Past

June 20, 2014 - December 16, 2015

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

RIA

CRD#: 151298

OLYMPIA, WA

Past

May 30, 2014 - December 22, 2015

LPL FINANCIAL LLC

CRD#: 6413

SCOTTSDALE, AZ

Past

January 4, 2012 - June 10, 2014

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

PHOENIX, AZ

Past

July 25, 2006 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

July 21, 2000 - June 2, 2014

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/24/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/1/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/30/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/28/2011

General Securities Sales Supervisor - Options Module Examination

Current Firm

TOBIN & COMPANY SECURITIES LLC

TOBIN & COMPANY SECURITIES LLC | TOBIN SOLITARIO SECURITIES LLC | TOBIN ADVISORS LLC | TOBIN ADVISORS II LLC

CRD#: 137918 / SEC#: , 8-67134

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

101 South Tryon Street Suite 2700, Charlotte, NC 28280

Mailing Address

P.o. Box 30486, Charlotte, NC 28230

Phone number

(704) 334-2772

Established

North Carolina since 05/12/2005

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TOBIN & COMPANY INVESTMENT BANKING GROUP LLC	PARENT COMPANY
TOBIN, JUSTINE EIDT	CHIEF COMPLIANCE OFFICER	1641345

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.

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Advisor Monitoring

Firm Stability Insights

Gregory L. Talcott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PATRICK CAPITAL MARKETS, LLC

VIRTUA CAPITAL MANAGEMENT, LLC

EMERSON EQUITY LLC

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

LPL FINANCIAL LLC

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/24/2006

Series 63

Date: 8/1/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/20/2000

Series 10

Date: 9/30/2011

Series 9

Date: 6/28/2011

Current Firm

TOBIN & COMPANY SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TOBIN & COMPANY SECURITIES LLC

TRUST BUT VERIFY

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