Gregory A. Soares
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 Allen Soares was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1979. Gregory had worked at 4 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 1995 - August 30, 1999
TRIEQUA CAPITAL CORPORATION
June 5, 1985 - June 28, 1994
SOARES FINANCIAL GROUP, INC.
August 7, 1984 - May 24, 1985
CONSOLIDATED INVESTMENT SERVICES, INC.
May 1, 1979 - June 30, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
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 1
Date: 4/24/1979
Registered Representative ExaminationCurrent Firm
TRIEQUA CAPITAL CORPORATION
CRD#: 13101 / SEC#: , 8-28626
Contact information
Documents
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.
