Arthur W. Gregory
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.
Arthur William Gregory III, who also goes by Arthur William Gregory, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1968. Arthur had worked at 13 firms and has passed the Series 63, SIE, Series 7, PC, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2010 - June 15, 2015
CTL SECURITIES LLC
October 23, 1998 - December 7, 2000
WELLS FARGO CLEARING SERVICES, LLC
June 29, 1998 - August 12, 1998
UBS SECURITIES LLC
March 9, 1992 - June 29, 1998
SBC WARBURG DILLON READ INC.
March 19, 1990 - March 4, 1992
KIDDER, PEABODY & CO. INCORPORATED
July 25, 1987 - March 3, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
March 5, 1986 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
January 10, 1980 - March 12, 1986
MORGAN STANLEY DW INC.
January 2, 1980 - January 20, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 26, 1978 - December 3, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
June 10, 1968 - January 15, 1975
WHITE, WELD & CO., 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
PC
Date: 1/25/1991
AMEX Put and Call ExamSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 6/4/1968
Registered Representative ExaminationCurrent Firm
CTL SECURITIES LLC
CRD#: 147369 / SEC#: , 8-67900
Contact information
FINRA licenses (29 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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