Carl Gregory, financial advisor Dallas TX
93 score

Carl Gregory

CRD Number: 5617560
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Carl Gregory (CRD# 5617560) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Dallas, TX and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America N.a. Dallas, TX Nov 2012 - Current 4
Merrill Lynch, Pierce, Fenner & Smith Incorporated Dallas, TX Aug 2012 - Current 4
Morgan Stanley Smith Barney Los Angeles, CA Jun 2009 - Aug 2012 3
Ameriprise Financial Services, Inc. Los Angeles, CA Jan 2009 - May 2009 < 1
Citigroup Global Markets, Inc. Los Angeles, CA Nov 2008 - Jan 2009 < 1
United States Marine Corps Washington, DC Mar 2006 - Sep 2008 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2009
Contact Info for Carl C. Gregory
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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