Geoffrey GregoryCRD Number: 3022134
Current Firm: Hightower Advisors, LLC
Geoffrey Gregory (CRD# 3022134) is an Investment Advisor Representative working at Hightower Advisors, LLC in Madison, CT and has over 19 years of experience in the finance industry.
Springboard Asset Management LLC
Sagepoint Financial, Inc.
Halsey Associates Inc.
|Hightower Advisors, LLC||Madison, CT||Nov 2013 - Current||4|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||New Haven, CT||Mar 2004 - Nov 2013||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1998|
|S65||NASAA Investment Advisors Law Examination||Apr 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management24,600MILLIONS
Total Number of Accounts47,650ACCOUNTS
Average Account Value$516,264
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)