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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rupert? Claim Your ProfileRupert B. Gregorio is a financial advisor with over 20 years of experience in the financial services industry. Rupert currently works at Principal Securities, Inc. in Bakersfield, CA. Rupert is a registered representative with both FINRA and the state of California. Rupert holds Series 7, 31, and 66 licenses, as well as the SIE exam. Rupert has experience working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. Rupert's prior experience includes working at UnionBanc Investment Services, LLC; Morgan Stanley; Morgan Stanley & Co. Incorporated; Western International Securities, Inc.; Kinsell, Newcomb & De Dios, Inc.; Charles Schwab & Co., Inc.; and UBS Paine Webber 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.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
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2
CA
01/12/2017 - Present
Principal Securities, Inc. (BAKERSFIELD CA)
CA
02/25/2015 - 01/05/2017
UNIONBANC INVESTMENT SERVICES, LLC (WASCO CA)
CA
06/01/2009 - 03/09/2015
MORGAN STANLEY (BAKERSFIELD CA)
CA
03/20/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BAKERSFIELD CA)
CA
11/29/2004 - 03/14/2008
WESTERN INTERNATIONAL SECURITIES, INC. (PASADENA CA)
CA
02/03/2004 - 05/24/2004
KINSELL, NEWCOMB & DE DIOS, INC (CARLSBAD CA)
TX
01/30/2003 - 01/29/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NJ
05/04/2001 - 01/14/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
07/13/2000 - 05/10/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 08/11/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 07/12/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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