GG
Gregory S. Gefen
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CRD#: 5566954
GG
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 Scott Gefen, who also goes by Gregory Gefen, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2008. Gregory had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gregory Gefen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) GREGORY GEFEN INSURANCE
POSITION: Agent NATURE: Insurance Fixed Annuities; Life/Health; Long-Term Care; INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2010
ADDRESS: 1801 N Military Trail, #203, Boca Raton FL 33431
DESCRIPTION: insurance rep
2) GREGORY S GEFEN PA
POSITION: President=Managing Attorney NATURE: ATTORNEY INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/15/1995
ADDRESS: 1801 N Military Trail, #203, Boca Raton FL 33431
DESCRIPTION: Law Firm - real estate and small probate and estate
3) SIGNATURE TITLE GROUP
POSITION: Officer NATURE: Title Company - Owned and Managed by my law firm - Gregory S Gefen, PA INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/08/2009
ADDRESS: 1801 N Military Trail, #203, Boca Raton FL 33431
DESCRIPTION: Title Company Specializing in Residential Real Estate Closings
4) ALL REGENCY TITLE COMPANY DBA US TITLE OF FLORIDA
POSITION: Owner NATURE: Title Company Owned and managed by my Law Firm - Gregory S Gefen PA INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/15/1999
ADDRESS: 1801 N Military Trail, #203, Boca Raton FL 33431
DESCRIPTION: Title Company that handles residential closings
5) DST (DEFERRED SALES TRUST) JAN 2017/AFFILIATE, ESTATE PLANNING TEAM REPRESENT AND MARKET FOR DEFERRED SALES TRUST. EXPLANING THE STRATEGY AS POTENTIALLY SUITABLE FOR CERTAIN CLIENTS IN CERTAIN CIRCUMSTANCES.
6) GEFEN ASSET MANAGEMENT (DBA): BOCA RATON,FLORIDA, 6/2017, INSURANCE, FIXED INSURANCE, SECURITIES AND INVESTMENT ADVISORY SERVICES ARE PROVIDED.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 5, 2016 - August 15, 2024
NFSG CORPORATION
RIA
CRD#: 130814
BOCA RATON, FL
Past
April 12, 2016 - August 15, 2024
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
February 2, 2015 - April 13, 2016
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
BOCA RATON, FL
Past
January 27, 2015 - April 13, 2016
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
BOCA RATON, FL
Past
December 6, 2012 - January 25, 2013
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
April 12, 2010 - January 28, 2013
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
MEMPHIS, TN
Past
October 30, 2008 - December 19, 2012
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
BOCA RATON, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
