Gregory E. Wiepking
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.
Gregory Edward Wiepking was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1976. Gregory had worked at 5 firms and has passed the Series 63, PC, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1999 - February 1, 2000
FIRST ASSOCIATED SECURITIES GROUP, INC.
June 26, 1996 - April 1, 1999
FIRST SECURITIES USA, INC.
August 31, 1994 - June 26, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
April 27, 1992 - August 24, 1994
SECURITIES RESOLUTION CORPORATION
October 12, 1982 - January 21, 1991
DAIN RAUSCHER INCORPORATED
July 26, 1976 - October 5, 1982
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 10/12/1982
AMEX Put and Call ExamCurrent Firm
FIRST ASSOCIATED SECURITIES GROUP, INC.
CRD#: 20597 / SEC#: , 8-38276
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Red Flags
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