Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregg? Claim Your ProfileGregg Scott Newman is a financial advisor based in NEW YORK, NY. Gregg Scott Newman is registered with Houlihan Lokey Capital, Inc. Gregg Scott Newman has been in the industry since October 21, 2002. Gregg Scott Newman has passed the General Securities Representative Examination (Series 7), Uniform Securities Agent State Law Examination (Series 63), Investment Banking Registered Representative Examination (Series 79TO), General Securities Principal Examination (Series 24), and Securities Industry Essentials Examination (SIE).
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.
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.
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2
NY
11/08/2013 - Present
Houlihan Lokey Capital, Inc. (NEW YORK NY)
NY
05/14/2009 - 11/01/2013
SAGENT ADVISORS, LLC (NEW YORK NY)
NY
09/10/2002 - 04/07/2009
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 01/31/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/10/2015
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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