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Gregg S. Ducatte
NOVAK & POWELL FINANCIAL SERVICES
Largo, FL 33774
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CRD#: 704757
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Professional summary
Gregg Stephen Ducatte is a registered financial advisor currently at NOVAK & POWELL FINANCIAL SERVICES, INC. located in Largo, Florida.
Gregg is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Gregg has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 5 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Gregg Stephen Ducatte's CRS (Customer Relationship Summary).
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
Current
May 13, 2020 - Present
NOVAK & POWELL FINANCIAL SERVICES, INC.
Office #1: 14385 Walsingham Road, Largo, FL 33774Office #2: 146 Second St N Suite 310, St. Petersburg, FL 33701RIA
CRD#: 112970
Largo, FL
Past
March 30, 2009 - May 4, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
LARGO, FL
Past
March 25, 2005 - October 12, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
LARGO, FL
Past
July 22, 2003 - May 4, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LARGO, FL
Past
April 8, 1993 - July 11, 2003
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
ST. PETERSBURG, FL
Past
March 18, 1993 - July 11, 2003
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
February 22, 1980 - November 12, 1986
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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".
N&
NOVAK & POWELL FINANCIAL SERVICES, INC.
A.T. WHITEHEAD | NOVAK & POWELL FINANCIAL SERVICES, INC. | GATES INVESTMENTS, INC. | GATES FINANCIAL SERVICES, INC. | GATES FINANCIAL SERVICES, INC | GATES & POWELL FINANCIAL SERVICES, INC. | CARR CAPITAL MANAGEMENT
CRD#: 112970 / SEC#: 801-108964
RIA
Registered Investment Advisory firm - (1/24/2017 Approved)Colorado
Registered Investment Advisory firm - (1/31/2017 Terminated)Florida
Registered Investment Advisory firm - (1/26/2017 Terminated)Missouri
Registered Investment Advisory firm - (1/26/2017 Terminated)Texas
Registered Investment Advisory firm - (1/26/2017 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(5/13/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/13/1982
Interest Rate Options ExaminationCurrent Firm
N&
NOVAK & POWELL FINANCIAL SERVICES, INC.
A.T. WHITEHEAD | NOVAK & POWELL FINANCIAL SERVICES, INC. | GATES INVESTMENTS, INC. | GATES FINANCIAL SERVICES, INC. | GATES FINANCIAL SERVICES, INC | GATES & POWELL FINANCIAL SERVICES, INC. | CARR CAPITAL MANAGEMENT
CRD#: 112970 / SEC#: 801-108964
RIA
Registered Investment Advisory firm - (1/24/2017 Approved)Colorado
Registered Investment Advisory firm - (1/31/2017 Terminated)Florida
Registered Investment Advisory firm - (1/26/2017 Terminated)Missouri
Registered Investment Advisory firm - (1/26/2017 Terminated)Texas
Registered Investment Advisory firm - (1/26/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
146 Second St N Suite 310, St. Petersburg, FL 33701
Mailing Address
Phone number
(727) 451-3440
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 952 |
| AUM (Assets Under Management) | $ 333,645,585 |
Red Flags
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Company Information
NOVAK & POWELL FINANCIAL SERVICES, INC.
CRD#: 112970Largo, FL 33774TRUST BUT VERIFY
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