NG
Neil D. Gregory
CANACCORD GENUITY WEALTH MANAGEMENT (USA)
Calgary, T2P 0R3
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CRD#: 7084673
NG
Professional summary
Neil David Gregory Mr. is a registered financial advisor currently at CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. .
Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Neil has worked at 2 firms .
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.
Missing Children Society of Canada- Business is not investment-related. Address is Suite 219, 3501 - 23 Street NE Calgary, Alberta, Canada.Missing Children Society of Canada is a non-profit charity and it's mission is to reunite missing children with their searching families through professional investigations, public awareness and family support programs.Neil is a volunteer and board member. He started on March 09,2011. He devotes approximately 1-2 hours per month to this activity. None during securities trading hours. He is involved in fundraising activities and periodic capital campaigns. CANACCORD GENUITY CORP INVESTMENT RELATED 2200 - 609 GRANVILLE STREET CANADIAN BROKER DEALER REGISTERED REPRESENTATIVE(RETAIL)and Portfolio Management 9/23/2020 40HRS PER WEEK Woods Homes Society Board of Directors Non - Investment Related 805 37 St. NW, Calgary, AB Wood's Homes is a children's mental health center. We provide treatment and support to children, youth and families with mental health needs Volunteer Board Director and Member - Investment oversight Committee 6/28/2022 8 hours per month
CRS (Client Relationship Summary) - RIA
Click below to view Neil David Gregory Mr.'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
October 20, 2020 - Present
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
Office #1: Suite 2400 - 520 3rd Avenue Sw, Calgary, T2P 0R3RIA
BD
CRD#: 7449
Calgary,
Past
April 8, 2019 - January 26, 2021
RICHARDSON WEALTH (USA) LIMITED
RIA
CRD#: 166090
TORONTO, ONTARIO,
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".
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Texas(2/5/2021)
Exams
Current Firm
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1133 Melville Street Suite 1100, Vancouver, Bc, V6E 4E5
Mailing Address
Pmb 2300 250 H Street, Blaine, WA 98230-4018
Phone number
(604) 643-7300
Established
Minnesota since 07/06/1976
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
31
SEC notice filing (12 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 101,217,366 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 5 |
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.
