Gregg C. Lorenzo
Professional summary
Gregg Charles Lorenzo was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregg is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Gregg had worked at 6 firms, which includes CHARLES VISTA LLC, JOHN THOMAS FINANCIAL, MERCER CAPITAL LTD., SUMMIT BROKERAGE SERVICES INC., INDIANAPOLIS SECURITIES INC., J.P. TURNER & COMPANY L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2009 - June 18, 2013
CHARLES VISTA LLC
January 4, 2008 - January 27, 2009
JOHN THOMAS FINANCIAL
September 15, 2005 - January 29, 2008
MERCER CAPITAL LTD.
September 17, 2003 - September 15, 2005
SUMMIT BROKERAGE SERVICES, INC.
March 28, 2003 - September 18, 2003
INDIANAPOLIS SECURITIES, INC.
September 16, 2002 - March 26, 2003
J.P. TURNER & COMPANY, L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
CHARLES VISTA LLC
CRD#: 132650 / SEC#: , 8-66617
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GJL HOLDINGS LLC | SOLE MEMBER | |
| BRUNO, VINCENT MICHAEL | CCO | |
| LUBITZ, JACK | FINOP- SECONDARY PRINCIPAL | 1566639 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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