Steven A. Grun
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Alan Grun, who also goes by Steven A Grun, Steven Alan Grun, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2015 - September 18, 2015
THOMAS P. REYNOLDS SECURITIES LTD.
April 9, 2015 - May 18, 2015
NYLIFE SECURITIES LLC
November 7, 2013 - December 5, 2013
RAYMOND C. FORBES & CO., INC.
April 16, 1996 - April 15, 1998
TCW FUNDS DISTRIBUTORS LLC
March 25, 1994 - April 8, 1996
DAVID J. GREENE AND COMPANY, LLC
March 26, 1991 - March 3, 1994
REICH & TANG DISTRIBUTORS, INC.
June 28, 1984 - March 26, 1991
REICH & TANG, L.P.
December 19, 1983 - February 24, 1984
PERSHING LLC
State Registrations and Notice Filings
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Exams
Current Firm
THOMAS P. REYNOLDS SECURITIES LTD.
CRD#: 6414 / SEC#: , 8-26155
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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