Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Dale Captain is a financial advisor with over 29 years of experience in the industry. Gregory is registered with Northwestern Mutual Investment Services, LLC in Rochester, Minnesota. Gregory also has experience with Robert W. Baird & Co. Incorporated. Gregory is licensed in 30 states and holds the Series 6, Series 63 and SIE licenses. Gregory specializes in Investment Research and Referrals to Other Advisors.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
MN
08/31/1994 - Present
Northwestern Mutual Investment Services, LLC (ROCHESTER MN)
WI
08/31/1994 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BC
Issued 07/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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