Gregory Kevin Dooley

REGIONS SECURITIES LLC

Charlotte, NC 28202

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CRD#: 4549180

Professional summary

Gregory Kevin Dooley, who also goes by Gregory Kevin Dooley Mr, Gregory Kevin Dooley, is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.

Gregory Kevin is registered as a RR (Registered Representative) and started their career in finance in 2002. Gregory Kevin has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gregory Kevin Dooley Mr | Gregory Kevin Dooley

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 Kevin Dooley's 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

December 11, 2018 - Present

REGIONS SECURITIES LLC

Office #1: 615 South College Street, Charlotte, NC 28202

CRD#: 159475

Charlotte, NC

Past

July 26, 2017 - December 17, 2018

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101

NEW YORK, NY

Past

June 4, 2015 - June 1, 2017

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

July 22, 2013 - May 27, 2015

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

January 7, 2013 - May 8, 2013

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

March 29, 2007 - December 22, 2011

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

April 6, 2005 - March 27, 2007

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

July 11, 2002 - March 23, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

State Registrations and Notice Filings

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

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

North Carolina
(12/18/2018)

Exams

State Security Law Exam

Series 63

Date: 9/30/2002

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: 7/10/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/9/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REGIONS SECURITIES LLC

REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

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

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Contact information

Main Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Mailing Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Phone number

(404) 279-7400

Established

Delaware since 10/12/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RFC FINANCIAL SERVICES HOLDING LLC	PARENT
AMIN, RITVIG NIPENDRA	CHAIRMAN OF THE BOARD & DIRECTOR	2901218
GIARDINO, NEIL	CEO, PRESIDENT AND DIRECTOR	2428962
HOLLOWAY, GLENN CHRISTOPHER	FINOP, CFO, PFO, POO & DIRECTOR	4566759
MAGGIORE, JILL WRIGHT	CHIEF COMPLIANCE OFFICER & DIRECTOR	1001068
MAXWELL, JASON MATTHEW	CHIEF LEGAL OFFICER & DIRECTOR	5997125

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Gregory Kevin Dooley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Kevin Dooley's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIXIS SECURITIES AMERICAS LLC

BNP PARIBAS SECURITIES CORP.

NATWEST MARKETS SECURITIES INC.

CANTOR FITZGERALD & CO.

UBS SECURITIES LLC

TD SECURITIES (USA) LLC

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/30/2002

SIE

Date: 10/1/2018

Series 7

Date: 7/10/2002

Series 24

Date: 3/9/2006

FINRA

Current Firm

REGIONS SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REGIONS SECURITIES LLC

TRUST BUT VERIFY

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