Arthur William Gregory Iii
Professional Summary
Arthur William Gregory III, who also goes by Arthur William Gregory, was a registered financial advisor. Arthur was a previously registered financial professional and started their career in finance 1968 - 2015. Arthur had worked at 13 firms and has passed the Series 63, SIE, Series 7, PC, Series 5 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Arthur William Gregory
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
58 years in the financial services industry
Current & Past Employments
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Current Firm
CTL SECURITIES LLC | PRC SECURITIES, LLC
Contact Information
Main Address
521 Fifth Ave 17th Floor, New York, NY 10175-1799Mailing Address
521 Fifth Ave 17th Floor, New York, NY 10175-1799Phone Number
(212) 792-7884Established
Delaware since 10/16/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (29 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Jan 1991Series 5 — Interest Rate Options Examination
Passed Dec 1982Series 1 — Registered Representative Examination
Passed Jun 1968Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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