Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Gordon Riggs is an active investment advisor representative. He is a registered representative with LPL Financial LLC and has been in the securities industry since July 6, 1983. Gregory holds the Series 3, Series 7, and Series 63 securities licenses, along with the Series 65 investment advisor license. Gregory has experience with KMS Financial Services, Inc., Securities America, Inc. and First Union Securities, Inc. Gregory is currently registered in 19 states, including Texas and Washington.
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.
Consulting and other non-discretionary advisory services
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.
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2
WA
02/01/2023 - Present
LPL Financial LLC (BOTHELL WA)
WA
11/06/2020 - 01/31/2023
SECURITIES AMERICA, INC. (BOTHELL WA)
WA
10/05/2001 - 11/06/2020
KMS FINANCIAL SERVICES, INC. (BOTHELL WA)
MO
12/08/1994 - 10/16/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
05/04/1992 - 12/02/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/05/1984 - 05/06/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
06/13/1983 - 10/16/1984
EQUITEC SECURITIES COMPANY
IA
Issued 03/04/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/27/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1986
Series 3 - National Commodity Futures Examination
BC
Issued 12/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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