Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Connie? Claim Your ProfileConnie Lynn Gregory is a financial advisor with over 27 years of experience in the industry. Connie is currently registered with Ameriprise Financial Services, LLC in California. Connie has a diverse background with experience at firms like Cetera Advisor Networks LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, and Cetera Investment Services LLC. Connie is also a Registered Investment Advisor in California. Connie has obtained the Series 6, 7, 63, 65, SIE and 99TO licenses and has a strong record of helping clients with asset allocation services, financial planning, and portfolio management. Connie offers a variety of advisory services to individuals, corporations, high-net-worth individuals, trusts/estates, insurance companies, charitable organizations, and pension and profit-sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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CA
11/24/2023 - Present
Ameriprise Financial Services, LLC (Porter Ranch CA)
CA
10/10/2019 - 09/28/2023
CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)
CA
10/10/2019 - 09/28/2023
CETERA ADVISORS LLC (EL SEGUNDO CA)
CA
10/10/2019 - 09/28/2023
CETERA FINANCIAL SPECIALISTS LLC (EL SEGUNDO CA)
CA
10/10/2019 - 09/28/2023
CETERA INVESTMENT SERVICES LLC (EL SEGUNDO CA)
CA
03/15/2016 - 08/15/2019
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
CA
03/15/2016 - 08/15/2019
SORRENTO PACIFIC FINANCIAL, LLC (SAN DIEGO CA)
FL
01/09/2007 - 03/09/2016
INVEST FINANCIAL CORPORATION (TAMPA FL)
NY
02/18/2003 - 12/14/2006
IFMG SECURITIES, INC. (PURCHASE NY)
CA
07/31/2000 - 11/05/2002
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NY
01/14/1998 - 06/19/2000
CNA INVESTOR SERVICES, INC. (NEW YORK NY)
NY
09/21/1995 - 12/11/1996
LIFEMARK SECURITIES CORP. (ROCHESTER NY)
CA
01/03/1995 - 05/24/1995
CENTAURUS FINANCIAL, INC. (ANAHEIM CA)
NV
03/29/1994 - 12/31/1994
FINANCIAL WEST GROUP (RENO NV)
IA
Issued 11/23/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2016
Series 7 - General Securities Representative Examination
BC
Issued 03/28/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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