James Montgomery Gregg

Current Employers

Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2022-01-11
NY	RA	APPROVED	2021-05-26
TX	RA	APPROVED	2018-11-02

CO RA
APPROVED

Since 2022-01-11
NY RA
APPROVED

Since 2021-05-26
TX RA
APPROVED

Since 2018-11-02

Branch Locations

Skaneateles, NY • United States

36 Jordan Street Suite 2, Skaneateles, NY 13152 • United States

5784 Widewaters Parkway, Dewitt, NY 13214 • United States

Avon, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	De Witt	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	De Witt	NY	11/2016	11/2018
Stifel Nicolaus & Co Inc	Syracuse	NY	11/2018	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

De Witt, NY
11/2016 → 11/2018

Wells Fargo Clearing Services, Llc

De Witt, NY
11/2018 → Present

Stifel Nicolaus & Co Inc

Syracuse, NY

Previous Registrations

2011-07-18 → 2018-11-05

Wells Fargo Clearing Services, Llc

Dewitt, NY

Other Businesses

1. Rental Property; 218 West Beaver Creek Blvd Avon CO 81620; Occasional Rental Property; paying for services; 11/21/2024; 5 hrs/month; not during securities trading hours; investment-related

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-09-17

S63 Uniform Securities Agent State Law Examination

1998-09-17

Other Names

Jim Gregg

View on SEC IAPD