Gregory A. Uythoven
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 Antonie Uythoven was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2010. Gregory had worked at 4 firms and has passed the Series 65, 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
July 18, 2017 - January 24, 2019
RIVERNORTH CAPITAL MANAGEMENT, LLC
January 31, 2017 - December 31, 2018
ALPS DISTRIBUTORS, INC.
January 2, 2015 - December 31, 2015
FORESIDE FUND SERVICES, LLC
April 7, 2010 - December 31, 2014
QUASAR DISTRIBUTORS, LLC
Primary Firm SEC Registration
RIVERNORTH CAPITAL MANAGEMENT, LLC
CRD#: 122020 / SEC#: 801-61533
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
RIVERNORTH CAPITAL MANAGEMENT, LLC
CRD#: 122020 / SEC#: 801-61533
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 6,181,636,447 |
Red Flags
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