Gregory R. Dow
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 Read Dow, who also goes by Gregory R Dow, Greg Dow, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2007. Gregory had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 87, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2021 - April 14, 2023
NORTHBOUND SECURITIES LLC
February 11, 2020 - May 29, 2020
KLR GROUP, LLC
September 14, 2018 - April 2, 2020
KLR GROUP ADVISORS, LP
April 19, 2013 - December 26, 2019
KLR GROUP, LLC
May 4, 2012 - April 26, 2013
BURNHAM SECURITIES INC.
April 15, 2009 - April 20, 2012
RODMAN & RENSHAW, LLC
January 5, 2007 - May 18, 2007
COWEN AND COMPANY
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 4/14/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
NORTHBOUND SECURITIES LLC
CRD#: 314549 / SEC#: , 8-70710
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VEST, INC. | SHAREHOLDER | |
| SILVER, SCOTT MICHAEL | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, FINOP, PRINCIPAL OPERATIONS OFFICER | 2290261 |
Red Flags
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