Gregory M. Licalzi
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 Mark Licalzi was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1978. Gregory had worked at 11 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2019 - April 6, 2020
ROOSEVELT & CROSS, INCORPORATED
July 15, 2011 - February 1, 2019
GATES CAPITAL CORPORATION
August 17, 2009 - July 25, 2011
PIPER SANDLER & CO.
January 2, 2009 - June 1, 2009
TD SECURITIES (USA) LLC
September 16, 2002 - January 14, 2009
TD WEALTH MANAGEMENT SERVICES INC.
August 4, 2000 - September 4, 2002
GATES CAPITAL CORPORATION
May 8, 1998 - February 25, 2000
CIBC WORLD MARKETS CORP.
February 2, 1998 - May 18, 1998
APEX CLEARING CORPORATION
June 13, 1996 - February 2, 1998
FLEET SECURITIES INC.
October 19, 1994 - May 21, 1996
FLEET ENTERPRISES, INC.
August 28, 1990 - August 30, 1994
FLEET SECURITIES INC.
September 6, 1989 - August 20, 1990
WR LAZARD, LAIDLAW INCORPORATED
May 30, 1978 - July 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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 7TO
Date: 9/29/2022
General Securities Representative ExaminationSeries 79TO
Date: 9/29/2022
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 9/29/2022
Municipal Securities Representative ExaminationCurrent Firm
ROOSEVELT & CROSS, INCORPORATED
CRD#: 6964 / SEC#: , 8-19363
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FARAWELL, JOHN MADDEN | DIRECTOR | 1018554 |
| FINN, FRANCIS GREGORY | CHAIRMAN OF THE BOARD | 1019346 |
| BRENNAN, ELAINE MARIE | DIRECTOR | 720043 |
| HALLER, JOSEPH CROSS | DIRECTOR | 4826263 |
| MONAHAN, SCOTT THOMAS | DIRECTOR | 4882785 |
| STAVITSKI, CHARLES CLEMENT | CEO | 5435642 |
| WAGNER, DAVID CHARLES | DIRECTOR | 4249755 |
| WELSH, WILLIAM WALTER | 5% OWNER | 1602929 |
| CAWLEY, KATHLEEN | CCO | 1129804 |
| MOORE, DAVID WILLIAM | COO/SENIOR VICE PRESIDENT | 2209528 |
| SAKOL, DANIEL SCOTT | FINOP | 2813237 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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