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Thomas Alan Gregg

Ameriprise Financial Services, LLC

Albany, NY

Glenmont , NY

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-07-27
  • NY RA
    APPROVED
    Since 2026-07-27

Branch Locations

187 Wolf Rd Ste 300, Albany, NY 12205-1138 • United States

Glenmont , NY • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Albany NY 07/2013 07/2021
Bank Of America, Na Albany NY 06/2017 07/2021
Lpl Financial, Llc Latham NY 07/2021 07/2026
Ameriprise Financial Services, Llc Albany NY 07/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-17
  • S66 Uniform Combined State Law Examination
    2017-03-17
Other Names
  • Thomas A Gregg
  • Thomas Gregg
  • Thomas Alan Gregg
  • Thomas A Gregg
  • Thomas Gregg
  • Tom Alan Gregg
  • Tom A Gregg
  • Tom Gregg
  • Tom Alan Gregg
  • Tom A Gregg
  • Tom Gregg
  • Tom A Gregg Jr.

View on SEC IAPD

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