Michelle S. Sias
Professional summary
Michelle Stephanie Sias was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michelle is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Michelle had worked at 4 firms, which includes GRUNTAL & CO. L.L.C., CITIGROUP GLOBAL MARKETS INC., AEGON USA SECURITIES 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
November 12, 1998 - November 15, 2001
GRUNTAL & CO., L.L.C.
August 10, 1992 - August 21, 1998
CITIGROUP GLOBAL MARKETS INC.
February 27, 1992 - August 25, 1992
AEGON USA SECURITIES INC.
September 23, 1985 - June 4, 1986
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRUNTAL & CO., L.L.C.
CRD#: 372 / SEC#: , 8-31022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUNTAL FINANCIAL, L.L.C. | INTEREST HOLDER | |
| BRADLEY, RALPH HAMILTON JR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 2802958 |
| COHEN, DONALD N | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | |
| JOHNSON, ROSEMARY | DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 1515631 |
| RITTEREISER, ROBERT PETER | DIRECTOR, CHAIRMAN, CEO | 400305 |
Disclosures
| Regulatory Event | 34 |
| Arbitration | 81 |
| Bond | 2 |
Red Flags
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