Role at NLG Capital
- Title on Schedule A
- Chief Compliance Officer
- Control
- Gregory Teese is a control person of NLG Capital.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Gregory Teese has held the filed role since April 2022.
The firm
Career on record
- Passed Series 99TO · 2023
- Passed Series 28 · 2020
- Passed SIE · 2018
- Esi Financial AdvisorsCurrent– present · 18 years, · Adviser representative · Firm CRD 265
- Passed Series 63 · 1996
- Passed Series 65 · 1995
- Passed Series 7 and Series 24 · 1991
Registrations and exams
Gregory Teese has a current investment-adviser registration in Texas and has passed 7 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Texas | Investment adviser representative | Approved, resident | 14 May 2008 |
- Scope
- Investment adviser representative
- Status
- Approved, resident
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 26 July 1996 |
| Series 65 | Uniform Investment Adviser Law Examination | 5 May 1995 |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 26 October 2020 |
| Series 24 | General Securities Principal Examination | 14 June 1991 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 30 April 1991 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Gregory Dwight Teese
- CRD
- 2135269
- Firm
- NLG Capital LLC
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Gregory Teese work?
Gregory Teese has been Chief Compliance Officer of NLG Capital LLC since April 2022, and is a control person of the firm.
Is Gregory Teese a financial advisor?
Yes. Gregory Teese has a current investment-adviser registration in Texas, as of 17 October 2026.
How many years of experience does Gregory Teese have?
Gregory Teese has worked in the financial industry for 35 years as of 17 October 2026, counted from 1 May 1991, across 1 adviser firm.
What exams has Gregory Teese passed?
Gregory Teese has passed 7 licensing exams: the Series 7, Series 24, Series 65, Series 63, SIE, Series 28 and Series 99TO. The earliest, the Series 7, was passed in April 1991.
Leadership at NLG Capital
- Jason DoironChief Executive Officer and Chief Investment Officer
- Joseph HeaslipVice President and Chief Operating Officer
- Lisa MullerVice President, Chief Counsel, & Secretary
- Peter TrojanoVice President
- Paul KoenigDeputy Chief Investment Officer
- Christopher ZimmermanAssistant Secretary