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Paul Stephen Gregg

Rock ELM Capital Management LLC

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About Paul Stephen Gregg

Paul Gregg is a registered investment advisor representative in Connecticut. Paul has been in the industry since 1987 and has experience in portfolio management for businesses and pooled investment vehicles. Paul currently works at Rock Elm Capital Management LLC. Paul has a variety of certifications and licenses including a Series 3, 7, 27, 63 and 65. Paul's past experience includes working at Barclays Capital, Lehman Brothers, and Citigroup Global Markets.

Firm Information

Paul Gregg is currently registered with Rock ELM Capital Management LLC. Rock ELM Capital Management LLC is an investment advisor that provides portfolio management for businesses and pooled investment vehicles. The firm also offers general consulting services.

Not reported

Assets Under Management

Not reported

Total Clients

1

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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general consulting services

General consulting services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Paul Gregg’s Registration & Firm History

CT

03/01/2018 - Present

Rock ELM Capital Management LLC (DARIEN CT)

NY

11/23/2011 - 05/06/2016

MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)

NY

09/22/2008 - 12/15/2008

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

04/05/2007 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

12/18/1998 - 04/02/2007

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

09/23/1998 - 12/18/1998

CITICORP SECURITIES, INC. (NEW YORK NY)

NY

09/14/1990 - 10/01/1997

CITICORP SECURITIES, INC. (NEW YORK NY)

NA

01/04/1988 - 03/30/1989

NOMURA SECURITIES INTERNATIONAL, INC.

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Licenses & Designations

IA

Issued 03/01/2018

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/19/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/08/1990

Series 27 - Financial and Operations Principal Examination

BC

Issued 05/06/2016

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/2001

Series 3 - National Commodity Futures Examination

BC

Issued 08/15/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Paul Stephen Gregg.
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