Individual Firm
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Gregory Ferdinand
GREGORY MALCOLM FERDINAND, GREGORY FERDINAND
CRD#: 1455681
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1325 FRANKLIN AVE
GARDEN CITY, NY 11530
GARDEN CITY, NY 11530
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5/25/2005
Customer Dispute
Denied
State Registrations
B
Colorado 3/18/2021
B
North Carolina 3/18/2021
B
New Jersey 3/18/2021
B
Pennsylvania 5/2/2022
IA
New Jersey 3/19/2021
IA
Texas 3/30/2021
B
New York 3/18/2021
B
Texas 10/12/2022
IA
New York 6/12/2021
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 3/19/2021
B
Registered with this firm since 3/18/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/06/2015 - 03/24/2021 | WILLISTON PARK, NY | |
B | 02/06/2015 - 03/24/2021 | WILLISTON PARK, NY | |
IA | 10/05/2009 - 02/10/2015 | MELVILLE, NY | |
B | 10/05/2009 - 02/10/2015 | MELVILLE, NY | |
IA | 04/08/2009 - 10/05/2009 | MELVILLE, NY | |
B | 03/27/2009 - 10/05/2009 | MELVILLE, NY | |
IA | 10/03/2006 - 04/02/2009 | MELVILLE, NY | |
B | 06/09/2006 - 04/02/2009 | MELVILLE, NY | |
B | 11/21/1994 - 06/19/2006 | JERICHO, NY | |
B | 08/21/1991 - 01/06/1995 | WEEHAWKEN, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.