Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Amborn is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 25 years of experience in the financial services industry. Gregory is registered with the Securities and Exchange Commission (SEC) and several states, including Wisconsin and Texas. Gregory has held various positions at different firms throughout his career, including BMO Capital Markets GKST Inc., Piper Jaffray & Co., and M&I Financial Advisors, Inc. Gregory holds Series 7 and Series 63 licenses, as well as the Series 65 license, which allows him to provide investment advice to clients. Gregory's expertise spans various areas, including portfolio management for individuals and businesses, as well as pension consulting. Gregory is also a board member of the Burlington Catholic School and is committed to providing his clients with personalized financial advice tailored to their specific needs.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
WI
09/12/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BURLINGTON WI)
WI
10/10/2015 - 11/20/2017
PIPER JAFFRAY & CO. (Milwaukee WI)
WI
08/01/2012 - 10/19/2015
BMO CAPITAL MARKETS GKST INC. (MILWAUKEE WI)
WI
10/10/2007 - 07/24/2012
M&I FINANCIAL ADVISORS, INC (MILWAUKEE WI)
WI
10/08/1999 - 10/01/2002
M&I BROKERAGE SERVICES, INC. (MILWAUKEE WI)
IL
01/01/1999 - 07/23/1999
B. C. ZIEGLER AND COMPANY (CHICAGO IL)
WI
03/27/1998 - 01/01/1999
GS2 SECURITIES, INC. (MILWAUKEE WI)
WI
10/09/1993 - 12/17/1997
EVEREN CLEARING CORP. (MILWAUKEE WI)
NJ
08/21/1991 - 03/10/1992
ELAN INVESTMENT SERVICES, INC. (MORRIS PLAINS NJ)
NA
01/23/1990 - 03/03/1990
BLINDER, ROBINSON & CO., INC.
IA
Issued 02/03/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/30/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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