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James Alexander Gregory

Absa Securities U.s. Inc.

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About James Alexander Gregory

James Alexander Gregory is a financial professional with over 2 years of experience in the industry. He is a registered representative with Absa Securities U.S. Inc. and holds Series 63, 24, 99TO, 79TO, 7TO, and SIE licenses. James is currently registered in California, Connecticut, Illinois, New York, and Pennsylvania. He has a proven track record of providing investment advice and financial planning services to clients.

Firm Information

James Gregory is currently registered with Absa Securities U.s. Inc.. Absa Securities U.S. Inc. is a Corporation formed on September 6, 2018. The firm is registered in California, Connecticut, Illinois, New York, and Pennsylvania. It is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

4

Total Financial Advisors

Services Offered

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.

Fee Structure

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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James Gregory’s Registration & Firm History

NY

02/25/2020 - Present

Absa Securities U.s. Inc. (New York NY)

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Licenses & Designations

BC

Issued 11/22/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/30/2019

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 12/19/2019

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 08/29/2019

Series 7TO - General Securities Representative Examination

BC

Issued 05/03/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Alexander Gregory.
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