Robert James Gregory

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-08-04
NJ	RA	APPROVED	2013-12-04

TX RA
APPROVED_RES

Since 2020-08-04
NJ RA
APPROVED

Since 2013-12-04

Branch Locations

70 Main St, Chatham, NJ 07928 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Financial Network, Llc	Chatham	NJ	12/2013	Present

12/2013 → Present

Wells Fargo Advisors Financial Network, Llc

Chatham, NJ

Previous Registrations

2009-06-01 → 2013-12-10

Morgan Stanley

Morristown, NJ
2004-01-13 → 2009-06-01

Citigroup Global Markets Inc.

Florham Park, NJ

Florham Park, NJ

Other Businesses

MARQUIS WEALTH ADVISORS LLC, INV RELATED, CHATHAM, NJ, 25% OWNERSHIP, START 5/1/2012, 160 HOURS PER MONTH, 140 HOURS DURING TRADING, FINET PRACTICE. AARON ELLIOT INC, INVT RELATED, CHATHAM, NJ, 100% OWNERSHIP, START DATE 1/12/2013, 240 HRS PER MONTH, 140 HRS DURING TRADING, S CORP FOR FINET PRACTICE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-01-09
S63	Uniform Securities Agent State Law Examination	2003-12-29

S65 Uniform Investment Adviser Law Examination

2004-01-09
S63 Uniform Securities Agent State Law Examination

2003-12-29

View on SEC IAPD