Jerry L. Gruber

PROGRESS ALLIANCE INVESTMENT SERVICES

Englewood, CO 80112

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CRD#: 1195389

Professional summary

Jerry Leon Gruber is a registered financial advisor currently at PROGRESS ALLIANCE INVESTMENT SERVICES located in Englewood, Colorado.

Jerry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Jerry has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Real Estate Ownership; Commercial; Englewood, CO 80112; not Investment Related; Dec 2012. Business Ownership; NEOPP Consulting; Director of Marketing; Consulting; Englewood, CO 80112; Not Investment Related; Dec 2018; 0 hours per month; 0 during trading hours./ Rocky Mountain Financial Consultants, Inc; President; Consulting; Englewood, CO 80112; not Investment Related; Sep 1999; 0 hours per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry Leon Gruber's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 8, 2019 - Present

PROGRESS ALLIANCE INVESTMENT SERVICES

Office #1: 68 Inverness Lane East #104, Englewood, CO 80112

RIA

CRD#: 122687

Englewood, CO

Past

May 25, 2018 - December 31, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Englewood, CO

Past

May 25, 2018 - February 4, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Englewood, CO

Past

June 28, 2017 - May 25, 2018

DFPG INVESTMENTS, LLC

RIA

CRD#: 155576

Englewood, CO

Past

June 28, 2017 - May 25, 2018

DFPG INVESTMENTS, LLC

CRD#: 155576

Englewood, CO

Past

October 8, 2015 - June 9, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

ENGLEWOOD, CO

Past

October 8, 2015 - June 9, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

ENGLEWOOD, CO

Past

September 30, 2010 - October 23, 2015

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

ENGLEWOOD, CO

Past

October 10, 2006 - October 12, 2015

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

ENGLEWOOD, CO

Past

January 10, 2006 - October 3, 2006

GREENBOOK SECURITIES, INC.

CRD#: 121447

GREENWOOD VILLAGE, CO

Past

December 8, 2004 - December 31, 2005

COINBASE CAPITAL MARKETS CORP

CRD#: 10722

NEW YORK, NY

Past

September 8, 2004 - October 7, 2010

GREENBOOK INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 131563

GREENWOOD VILLAGE, CO

Past

August 20, 2004 - December 1, 2004

XELAN FINANCIAL PLANNING, INC.

RIA

CRD#: 123794

GREENWOOD VILLAGE, CO

Past

January 14, 2003 - July 26, 2004

XELAN FINANCIAL PLANNING, INC.

RIA

CRD#: 123794

GREENWOOD VILLAGE, CO

Past

December 20, 2001 - January 15, 2003

XELAN INVESTMENT SERVICES, INC.

RIA

CRD#: 111870

ENGLEWOOD, CO

Past

February 16, 2000 - December 31, 2002

XELAN INC

RIA

CRD#: 104856

GREENWOOD VILLAGE, CO

Past

January 31, 2000 - December 19, 2002

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

July 11, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

July 11, 1996 - February 8, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 19, 1983 - July 1, 1996

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(4/8/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/7/1997

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/8/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/18/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/17/1997

General Securities Principal Examination

Current Firm

PROGRESS ALLIANCE INVESTMENT SERVICES

CRD#: 122687 / SEC#:

Indiana

Registered Investment Advisory firm - (10/27/2003 Approved)

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Contact information

Main Address

Indianapolis, IN

Mailing Address

Phone number

(317) 842-4544

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 984,969

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Jerry L. Gruber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry Leon Gruber's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

DFPG INVESTMENTS, LLC

DFPG INVESTMENTS, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

GREENBOOK SECURITIES, INC.

COINBASE CAPITAL MARKETS CORP

GREENBOOK INVESTMENT MANAGEMENT, INC.

XELAN FINANCIAL PLANNING, INC.

XELAN FINANCIAL PLANNING, INC.

XELAN INVESTMENT SERVICES, INC.

XELAN INC

SUMMIT BROKERAGE SERVICES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/14/1998

Series 63

Date: 3/10/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/7/1997

Series 22

Date: 2/8/1985

Series 6

Date: 10/18/1983

Series 24

Date: 6/17/1997

Current Firm

PROGRESS ALLIANCE INVESTMENT SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROGRESS ALLIANCE INVESTMENT SERVICES

TRUST BUT VERIFY

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