Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Grooms is a financial professional with over 28 years of experience in the financial services industry. Gregory has a strong background in providing financial advice and has held several positions at various firms including Dean Witter Reynolds Inc., Wheat, First Securities, Inc., and 1ST GLOBAL CAPITAL CORP. Gregory is currently registered with Charles Schwab & CO., Inc. and provides financial planning, portfolio management and other advisory services. Gregory is a Certified Financial Planner and has a Series 7, Series 9, Series 10, Series 63, and Series 65 licenses. Gregory is committed to helping clients reach their financial goals.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
FL
01/02/2019 - Present
Charles Schwab & CO., Inc. (Gainesville FL)
FL
04/01/1999 - 11/01/2016
1ST GLOBAL CAPITAL CORP. (GAINESVILLE FL)
NY
03/24/1997 - 04/06/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NC
07/26/1994 - 04/21/1997
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 08/18/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/18/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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