Richard E. Gregerson
Professional summary
Richard Ellis Gregerson, who also goes by Dick Gregerson, is a registered financial professional currently at JCC CAPITAL MARKETS, LLC located in Pasadena, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2009. Richard has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Ellis Gregerson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2013 - Present
JCC CAPITAL MARKETS, LLC
Office #1: 141 S. Lake Street Suite 102, Pasadena, CA 91101December 9, 2011 - January 16, 2013
BROCKETT TAMNY & CO. INCORPORATED
November 25, 2009 - September 24, 2010
SOUTH LAKE AVENUE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/26/2013)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 11/24/2009
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
JCC CAPITAL MARKETS, LLC
CRD#: 146776 / SEC#: , 8-67850
Contact information
FINRA licenses (51 States and Territories)
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.
