Gregory P. Throckmorton
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 Philip Throckmorton, who also goes by Greg Philip Throckmorton, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2005. Gregory had worked at 6 firms and has passed the Series 66, SIE, Series 87, Series 86, Series 7 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
February 13, 2012 - March 29, 2019
QUADRIGA SECURITIES, LLC
March 16, 2011 - January 26, 2012
ST. CHARLES CAPITAL, LLC
December 14, 2009 - February 25, 2011
GREEN MANNING & BUNCH, LTD.
August 11, 2008 - December 3, 2009
HEADWATERS BD, LLC
June 20, 2007 - December 21, 2007
WM SMITH & CO.
July 21, 2005 - August 22, 2005
AMERITAS INVESTMENT COMPANY, 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
QUADRIGA SECURITIES, LLC
CRD#: 153861 / SEC#: , 8-68580
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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