Gregory L. Gardini
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 L Gardini, who also goes by Gregory Louis Gardini, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2005. Gregory had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2018 - September 3, 2020
PENTEGRA DISTRIBUTORS INC.
January 8, 2016 - October 16, 2018
NORTHERN TRUST SECURITIES, INC.
October 1, 2013 - September 29, 2014
VANGUARD MARKETING CORPORATION
August 24, 2005 - July 16, 2012
TRANSAMERICA INVESTORS SECURITIES, LLC
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
PENTEGRA DISTRIBUTORS INC.
CRD#: 26249 / SEC#: , 8-42445
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
