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Gregory Vickers Subject of North Carolina Regulatory Action

Gregory Vickers (CRD #: 6706470), a broker registered with Edward Jones, has been the subject of a state regulatory action, according to his BrokerCheck record, accessed on March 10, 2025. Keep reading if you have questions about his alleged conduct as a broker.

North Carolina Regulatory Action

On December 30, 2024, the North Carolina Department of the Secretary of State, Securities Division filed a regulatory action against Gregory Vickers, alleging that he failed to register as an investment adviser representative between approximately November 2018 and March 2024.

The Securities Division alleged that Gregory Vickers violated North Carolina General Statutes Section 78C-16(a)(1).

North Carolina General Statutes

North Carolina General Statutes Section 78C-16(a)(1) prohibits individuals from acting as an investment adviser in the state without being registered.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

The State of North Carolina ordered Gregory Vickers to cease and desist from violations of North Carolina General Statutes Section 78C-16(a)(1), and to pay a fine of $2,950 and an additional monetary sanction.

Background Information

Gregory Vickers has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66

Gregory Vickers is a registered broker in all 50 states and the District of Columbia. He is also a registered investment adviser in North Carolina, Missouri, and Texas.

He has also worked for LPL Financial (CRD#:6413).

Kurta Law Can Help

If you worked with Gregory Vickers and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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