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GN

Gregory W. Neumann

PICKWICK CAPITAL PARTNERS
White Plains, NY 10601
Some features on this profile are disabled
CRD#: 728510
GN

Professional summary

Gregory Walter Neumann is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 1981. Gregory has worked at 8 firms and has passed the Series 63, SIE, Series 82, Series 79, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Walter Neumann's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 22, 2015 - Present

PICKWICK CAPITAL PARTNERS, LLC

Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601
BD
CRD#: 130672
White Plains, NY
Past

September 11, 2013 - September 21, 2015

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
NEW YORK, NY
Past

July 2, 2012 - September 11, 2013

VIRTU AMERICAS LLC

BD
CRD#: 149823
GREENWICH, CT
Past

January 3, 2011 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
GREENWICH, CT
Past

December 22, 2010 - January 3, 2011

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

November 1, 1994 - October 18, 2005

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
NEW YORK, NY
Past

September 17, 1983 - September 1, 1994

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 13, 1983 - December 31, 1988

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
Past

April 13, 1981 - June 21, 1982

BERNARD HEROLD & CO., INC.

BD
CRD#: 6193

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/18/2018)
RR
Connecticut
(9/22/2015)
RR
District of Columbia
(12/19/2017)
RR
Florida
(12/3/2024)
RR
Illinois
(3/24/2017)
RR
Massachusetts
(10/9/2017)
RR
New York
(9/22/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 5/8/2012
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79
Date: 12/21/2010
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/27/2004
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/9/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PICKWICK CAPITAL PARTNERS, LLC
JAVELIN SECURITIES, LLC | STRATEGIC FINANCIAL SERVICES GROUP | PICKWICK SECURITIES, LLC | PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672 / SEC#: , 8-66373

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601
Mailing Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601
Phone number
(914) 358-3269
Established
Delaware since 08/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GREENWOOD, DOUGLAS CHARLES WILLIAMPRESIDENT1192611
DANOVITCH, DAVID EMANAGING PRINCIPAL, GENERAL COUNSEL3013350
KAPLOWITZ, JAYMEMBER
ROSE, JOHN IRVING IIMEMBER2790640
WU, CHIH-CHUNMEMBER5704739
FJC CAPITAL INC.OWNER
VAN SCHAACK, JOHN GREGORYMEMBER1121171
ABRAMCZYK, JANE ECCO4801666
ACCESS MEDIA ADVISORY LLCMEMBER
GENDRON, KAREN MARIEFINOP1503330

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.

Company Information

PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672White Plains, NY 10601

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