Larry C. Grossman
Professional summary
Larry Chester Grossman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Larry is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Larry had worked at 9 firms, which includes SOVEREIGN INTERNATIONAL ASSET MANAGEMENT INC., JONATHAN ROBERTS FINANCIAL GROUP INC., DUNWOODY BROKERAGE SERVICES INC., CAPITAL WEST INVESTMENT GROUP INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, A. G. EDWARDS & SONS INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2006 - December 31, 2011
SOVEREIGN INTERNATIONAL ASSET MANAGEMENT, INC.
June 11, 2001 - March 5, 2002
JONATHAN ROBERTS FINANCIAL GROUP, INC.
December 7, 1998 - June 18, 1999
DUNWOODY BROKERAGE SERVICES, INC.
September 11, 1998 - November 16, 1998
CAPITAL WEST INVESTMENT GROUP, INC.
July 31, 1993 - July 6, 1998
CITIGROUP GLOBAL MARKETS INC.
May 31, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
May 9, 1984 - April 10, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 1983 - April 18, 1984
A. G. EDWARDS & SONS, INC.
March 16, 1983 - October 19, 1984
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
SOVEREIGN INTERNATIONAL ASSET MANAGEMENT, INC.
CRD#: 120957 / SEC#: 801-61272
Contact information
Red Flags
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