GS
Gregory D. Shufro
SHUFRO, ROSE & CO.
New York, NY 10022
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CRD#: 4718283
GS
Professional summary
Gregory David Shufro is a registered financial advisor currently at SHUFRO, ROSE & CO., LLC located in New York, New York.
Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Gregory has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory David Shufro'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®
NoneExperience
Current
January 15, 2015 - Present
SHUFRO, ROSE & CO., LLC
Office #1: 600 Lexington Avenue 15th Floor, New York, NY 10022RIA
CRD#: 3403
New York, NY
Past
July 1, 2004 - December 10, 2015
SHUFRO, ROSE & CO., LLC
BD
CRD#: 3403
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)BD
Terminated by SEC on 02/09/2016
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(1/15/2015)
IAR
Colorado(3/29/2021)
IAR
Connecticut(3/5/2021)
IAR
New York(3/29/2021)
IAR
Texas(3/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)BD
Terminated by SEC on 02/09/2016
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Contact information
Main Address
600 Lexington Avenue 15th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 754-5100
Established
New York since 04/01/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
27
SEC notice filing (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEIT, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 818707 |
| SHUFRO, EDWARD GEORGE | SENIOR MANAGING DIRECTOR, CEO | 422885 |
| CONTANT, JOHN MARINUS | SENIOR MANAGING DIRECTOR | 2810876 |
| GLASS, STEVEN JEFFREY | SENIOR MANAGING DIRECTOR, CFO, FINOP | 1756153 |
| WACHT, HARVEY | SENIOR MANAGING DIRECTOR | 456036 |
| EDWARDS, MYLES JOSHUA IV | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL | 2040332 |
| KAMINSKY, TONIA | SENIOR MANAGING DIRECTOR | 4134855 |
| SHUFRO, GREGORY DAVID | SENIOR MANAGING DIRECTOR | 4718283 |
Regulatory assets under management
| Total Number of Accounts | 1,338 |
| AUM (Assets Under Management) | $ 2,165,482,981 |
Disclosures
| Regulatory Event | 11 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/17/2024 | ||
| 06/14/2023 |
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.
