Virginia K. Gregory
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Virginia Katherine Gregory, who also goes by VIrginia Pauline Wilson Galagan, Virginia Wilson Galagan, Virginia P Keith, Virginia P Wilson, was a registered financial professional .
Virginia is a previously registered financial professional and started their career in finance in 1975. Virginia had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - May 23, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 11, 2009 - May 23, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 31, 2005 - May 21, 2009
OSAIC SERVICES, INC.
January 2, 2001 - December 31, 2003
BTS ASSET MANAGEMENT, INC.
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 24, 1992 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 8, 1986 - September 10, 2015
GREGORY ADVISORS, INC.
April 1, 1985 - April 29, 1992
TITAN/VALUE EQUITIES GROUP, INC.
September 30, 1982 - April 12, 1985
UBS FINANCIAL SERVICES INC.
February 24, 1978 - January 17, 1983
MORGAN STANLEY DW INC.
November 20, 1975 - February 24, 1978
REYNOLDS SECURITIES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 11/13/1981
Interest Rate Options ExaminationSeries 8
Date: 1/19/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
