Gregoire Demory
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.
Gregoire Demory was a registered financial professional .
Gregoire is a previously registered financial professional and started their career in finance in 2008. Gregoire had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2014 - December 22, 2016
WOMBAT CAPITAL MARKETS LLC
July 21, 2010 - August 28, 2014
HOULIHAN LOKEY CAPITAL, INC.
January 31, 2008 - July 8, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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
WOMBAT CAPITAL MARKETS LLC
CRD#: 162699 / SEC#: , 8-69059
Contact information
FINRA licenses (29 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOMBAT WORLDWIDE GROUP | SOLE MEMBER | |
| EFREM, KATHY KHATINA | FINOP | 3248100 |
| MONDOLONI, JEAN-JACQUES | PRESIDENT, CEO &, CCO |
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.
