Lucas T. Gregor
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.
Lucas Timothy Gregor, who also goes by Luke Timothy Gregor, was a registered financial professional .
Lucas is a previously registered financial professional and started their career in finance in 2001. Lucas had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 62, Series 56 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2016 - December 6, 2017
GREAT POINT CAPITAL LLC
August 15, 2012 - December 22, 2015
GREAT POINT CAPITAL LLC
August 15, 2011 - July 23, 2012
AVATAR SECURITIES, LLC
January 3, 2005 - April 1, 2005
TAFFERER TRADING, LLC
July 14, 2003 - November 30, 2004
GREAT POINT CAPITAL LLC
September 11, 2002 - January 13, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
August 31, 2001 - February 20, 2002
PETERS SECURITIES CO., LP
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 55
Date: 8/27/2012
Limited Representative-Equity Trader ExamSeries 62
Date: 8/14/2012
Corporate Securities Limited Representative ExaminationSeries 56
Date: 10/27/2011
Proprietary Trader Qualification ExaminationCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
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