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Gregory R. Masceri

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CRD#: 727672
GM

Professional summary

Gregory Roy Masceri was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gregory is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Gregory had worked at 5 firms, which includes AMERICAN PORTFOLIOS FINANCIAL SERVICES INC., ALLSTATE FINANCIAL SERVICES LLC, MONY SECURITIES CORPORATION, NEW ENGLAND SECURITIES, MONARCH SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregory R Masceri

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 17, 2003 - December 31, 2004

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
HOLBROOK, NY
Past

August 14, 2000 - April 4, 2003

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

June 24, 1994 - March 14, 2000

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

September 25, 1990 - June 3, 1994

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

April 9, 1981 - October 10, 1990

MONARCH SECURITIES, INC.

BD
CRD#: 2809

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/6/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/7/1981
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AP
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | TRIAD FINANCIAL INC. | TRIAD FINANCIAL GROUP | TRIAD FINANCIAL

CRD#: 18487 / SEC#: , 8-37085

BD
Terminated by SEC on 12/14/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/27/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICAN PORTFOLIOS HOLDINGS, INC.100% SHAREHOLDER
CORNICK, GREGORY ALLENDIRECTOR3132991
DOLBER, LON TERRYDIRECTOR862635
DOLBER, LON TERRYCEO & PRESIDENT862635
HAMMOND, DORI JAMILLECHIEF COMPLIANCE OFFICER3259012
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMDIRECTOR2627931
SCHLUETER, MATTHEW ADAMEVP2627931
SCHMIDT, DAVID MARTINFINANCIAL & OPERATIONS PRINCIPAL5675524

Disclosures

Regulatory Event7
Arbitration1

Red Flags

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Company Information

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

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