Gregory M. Lorenz
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 M. Lorenz, CFP®, who also goes by Gregory M Lorenz, Gregory Michael Lorenz, Gregory Lorenz, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2005. Gregory had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
February 7, 2022 - May 17, 2023
J.P. MORGAN SECURITIES LLC
February 7, 2022 - May 17, 2023
J.P. MORGAN SECURITIES LLC
September 10, 2014 - January 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 2014 - January 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2010 - September 10, 2014
COMMONWEALTH CAPITAL SECURITIES CORP.
February 17, 2010 - August 10, 2010
ALLSTATE FINANCIAL ADVISORS, LLC
November 12, 2009 - August 10, 2010
ALLSTATE FINANCIAL SERVICES, LLC
May 23, 2008 - June 2, 2009
HARRISDIRECT LLC
February 11, 2008 - June 2, 2009
E*TRADE SECURITIES LLC
October 3, 2007 - January 10, 2008
PACIFIC CORNERSTONE CAPITAL INCORPORATED
January 22, 2007 - August 14, 2007
UBS FINANCIAL SERVICES INC.
December 14, 2006 - August 14, 2007
UBS FINANCIAL SERVICES INC.
September 16, 2005 - May 10, 2007
LORENZ FINANCIAL PLANNING
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
