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GREGORY STARK PETTYS
GREG PETTYS
CRD#: 1531342
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 3400 WABASH AVE
SPRINGFIELD, IL 62711
Registration History
199019952000200520102015202020252 FIRMS1998 - 2002 (4 years)2 FIRMS2002 - 2007 (5 years)2 FIRMS2011 - 2012 (1 year)2 FIRMS2013 - 2018 (5 years)2 FIRMS2018 - 2022 (3 years)2 FIRMS2024 - Present (1 year)BHARTFORD EQUITY SALES COMPANY INC. (CRD# 6604)2011 - 2013 (1 year)BSAYBRUS EQUITY SERVICES, INC (CRD# 153319)2010 - 2011 (<1 year)BPHOENIX EQUITY PLANNING CORPOR... (CRD# 38383)2009 - 2010 (1 year)BPHOENIX EQUITY PLANNING CORPOR... (CRD# 3036)2008 - 2009 (<1 year)BSAMMONS SECURITIES COMPANY, LLC (CRD# 115368)2007 - 2008 (<1 year)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)1997 - 1998 (<1 year)BLASALLE ST SECURITIES, L.L.C. (CRD# 7191)1997 - 1997 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1995 (<1 year)BJ.J.B. HILLIARD, W.L. LYONS, INC. (CRD# 453)1987 - 1994 (7 years)BMETLIFE SECURITIES INC. (CRD# 14251)1986 - 1992 (5 years)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)1986 - 1987 (<1 year)IABOS ASSET MANAGEMENT, LLC (CRD# 310632)2022 - 2024 (1 year)IAAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)2002 - 2002 (<1 year)
Disclosure(s)
View By:
11/17/2016
Financial
Final
8/30/1994
Customer Dispute
Settled
License(s)

State Registrations

B
Illinois 1/10/2024

B
Missouri 1/8/2024

IA
Illinois 1/12/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
3400 WABASH AVE, SPRINGFIELD, IL 62711
Registered with this firm since 1/12/2024

B
LPL FINANCIAL LLC (CRD#:6413)
3400 WABASH AVE, SPRINGFIELD, IL 62711
Registered with this firm since 1/8/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/08/2022 - 01/08/2024 BOS ASSET MANAGEMENT, LLC (CRD#:310632) SPRINGFIELD, IL
IA
08/06/2018 - 01/07/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) Chesterfield, MO
B
06/27/2018 - 01/07/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) Chesterfield, MO
IA
05/15/2013 - 05/15/2018 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Springfield, IL
B
01/03/2013 - 05/15/2018 PRUCO SECURITIES, LLC. (CRD#:5685) NEWARK, NJ
B
02/04/2011 - 01/03/2013 HARTFORD EQUITY SALES COMPANY INC. (CRD#:6604) HARTFORD, CT
IA
03/03/2011 - 10/16/2012 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) SPRINGFIELD, IL
B
03/03/2011 - 10/16/2012 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) SPRINGFIELD, IL
B
09/15/2010 - 01/03/2011 SAYBRUS EQUITY SERVICES, INC (CRD#:153319) HARTFORD, CT
B
02/04/2009 - 09/15/2010 PHOENIX EQUITY PLANNING CORPORATION (CRD#:38383) PHILADELPHIA, PA
B
06/09/2008 - 02/04/2009 PHOENIX EQUITY PLANNING CORPORATION (CRD#:3036) HARTFORD, CT
B
11/01/2007 - 05/30/2008 SAMMONS SECURITIES COMPANY, LLC (CRD#:115368) SPRINGFIELD, IL
IA
08/26/2002 - 10/29/2007 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) SPRINGFIELD, IL
B
08/26/2002 - 10/29/2007 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) SPRINGFIELD, IL
IA
01/07/2002 - 06/20/2002 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) EVANSVILLE, IN
B
06/15/1998 - 06/20/2002 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
06/15/1998 - 06/20/2002 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
10/01/1997 - 01/06/1998 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
02/04/1997 - 09/22/1997 LASALLE ST SECURITIES, L.L.C. (CRD#:7191) ELMHURST, IL
B
07/01/1994 - 04/12/1995 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
04/29/1987 - 07/06/1994 J.J.B. HILLIARD, W.L. LYONS, INC. (CRD#:453) LOUISVILLE, KY
B
07/16/1986 - 01/24/1992 METLIFE SECURITIES INC. (CRD#:14251)
B
07/16/1986 - 04/22/1987 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095)
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Disclosures
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.