Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Warren Smith is a financial advisor in San Francisco, California. Gregory has been in the financial industry for over 28 years and holds the Series 6, 7, 24, 63, 79, 86 and 87 licenses as well as the SIE. Currently, Gregory is registered with FTP Securities LLC. Previously, Gregory worked at Sterne, Agee & Leach, Inc., Duncan-Williams, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, J.P. Morgan Securities Inc., Chase Securities Inc., Hambrecht & Quist LLC, Putnam, Lovell, De Guardigua & Thornton Inc. and Franklin/Templeton Distributors, Inc.
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.
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.
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2
CA
02/07/2014 - Present
FTP Securities LLC (San Francisco CA)
CA
06/06/2011 - 02/04/2014
STERNE, AGEE & LEACH, INC. (WOODLAND HILLS CA)
CA
04/14/2009 - 06/06/2011
DUNCAN-WILLIAMS, INC. (WOODLAND HILLS CA)
NY
07/24/2002 - 03/13/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/01/2001 - 04/11/2002
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/05/2001 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/01/2000 - 02/05/2001
CHASE SECURITIES INC. (NEW YORK NY)
CA
06/14/1999 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
08/06/1997 - 06/23/1999
PUTNAM, LOVELL, DE GUARDIOLA & THORNTON INC. (NEW YORK NY)
CA
09/09/1994 - 06/11/1997
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
BC
Issued 08/07/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/14/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2015
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/03/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 08/02/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/04/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/02/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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