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GREGORY SCOTT CAULFIELD
GREG CAULFIELD, GREGG SCOTT CAULFIELD
CRD#: 1939810
IA
B
MORGAN STANLEYCRD#: 149777 DECAMP FINCL CENTER
14 COUNTRY CLUB RD
GILFORD, NH 03246
14 COUNTRY CLUB RD
GILFORD, NH 03246
0
Disclosures
35
Years of Experience
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State Registrations
B
Alaska 7/11/2016
IA
New Hampshire 6/1/2009
B
Arizona 10/30/2023
B
New Jersey 8/22/2018
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 6/1/2009
B
Connecticut 1/5/2012
B
Pennsylvania 6/30/2023
B
Florida 6/1/2009
B
South Carolina 6/1/2009
B
Georgia 10/19/2010
B
Tennessee 7/18/2016
B
Kansas 9/10/2020
B
Texas 6/1/2009
B
Maine 6/1/2009
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Texas 5/5/2020
B
Maryland 6/1/2009
B
Utah 2/28/2011
B
Massachusetts 6/1/2009
B
Vermont 6/1/2009
B
New Hampshire 6/1/2009
B
Virginia 2/14/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/23/1998 - 06/01/2009 | GILFORD, NH | |
B | 07/31/1993 - 06/01/2009 | GILFORD, NH | |
B | 01/14/1991 - 07/31/1993 | NEW YORK, NY | |
B | 05/22/1990 - 02/11/1991 | NEWARK, NJ | |
B | 05/22/1990 - 02/11/1991 | NEWARK, NJ | |
B | 05/23/1989 - 11/08/1989 |
05/23/1989 - 11/08/1989
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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.