Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Butler is a financial advisor at UBS Financial Services Inc. Gregory has been in the financial services industry since 1994. Gregory has a total of 26 state registrations, 10 SRO registrations, and 4 IA state registrations. Gregory also holds a Series 7, Series 8, Series 9, Series 10, Series 31, Series 63 and Series 65 license. Gregory is currently registered with UBS Financial Services Inc. in California, Nevada, New Jersey and Texas. Gregory has previously worked at Morgan Stanley, Morgan Stanley & Co. Incorporated and Barrington Capital Group, L.P.. Gregory specializes in Portfolio Management For Individuals, Portfolio Management For Businesses, Financial Planning, Selection Of Other Advisers, Pension Consulting, and Educational Seminars. Gregory is a member of the Newport Harbor Boys Lacrosse Booster Club.
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.
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.
See schedule d - miscellaneous
1
2
CA
01/11/2021 - Present
UBS Financial Services Inc. (NEWPORT BEACH CA)
CA
06/01/2009 - 11/10/2014
MORGAN STANLEY (NEWPORT BEACH CA)
NJ
05/11/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LAWRENCEVILLE NJ)
NJ
03/30/1995 - 05/25/2007
UBS FINANCIAL SERVICES INC. (PRINCETON NJ)
NY
11/18/1994 - 02/28/1995
BARINGTON CAPITAL GROUP, L.P. (NEW YORK NY)
IA
Issued 04/28/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/18/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/03/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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