Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Fleming is a financial professional with over 25 years of experience in the industry. Gregory is currently registered with Rockefeller Financial LLC and holds a Series 7, Series 24, Series 52, Series 53, Series 79 and Series 99 licenses. Gregory has previously been registered with firms including Axiom Capital Management, Inc., Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Distribution, Inc., Morgan Stanley Distributors Inc., Banc of America Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Gregory is based in New York, NY.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
10/10/2018 - Present
Rockefeller Financial LLC (NEW YORK NY)
NY
01/18/2017 - 11/14/2018
AXIOM CAPITAL MANAGEMENT, INC. (NEW YORK NY)
NY
01/27/2011 - 07/25/2016
MORGAN STANLEY (PURCHASE NY)
NY
03/11/2010 - 07/25/2016
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
03/11/2010 - 07/25/2016
MORGAN STANLEY DISTRIBUTION, INC. (NEW YORK NY)
NY
03/11/2010 - 03/24/2011
MORGAN STANLEY DISTRIBUTORS INC. (NEW YORK NY)
NY
01/02/2009 - 02/09/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
06/07/1993 - 02/09/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 08/18/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/30/1997
Series 24 - General Securities Principal Examination
BC
Issued 08/11/1993
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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