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Inactive

Paul Stephen Gregg

Rock Elm Capital Management LLC

Darien, CT

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Current Employers
Rock Elm Capital Management Llc

30 Old Kings Highway South, Darien, CT 06820 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2018-03-01
  • CT RA
    APPROVED
    Since 2018-03-01

Branch Locations

30 Old Kings Highway South, Darien, CT 06820 • 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
OrganizationCityStateFromTo
Nextgen Strategic Advisors New York NY 07/2016 01/2017
Rock Elm Capital Management Llc Darien CT 02/2017 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-01
S63 Uniform Securities Agent State Law Examination 1990-11-19
  • S65 Uniform Investment Adviser Law Examination
    2018-03-01
  • S63 Uniform Securities Agent State Law Examination
    1990-11-19

View on SEC IAPD

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