Richard J. Groh
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.
Richard James Groh, CFP®, who also goes by Richard J Groh, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1999
Experience
July 7, 2021 - October 8, 2021
Q3 ADVISORS, LLC
January 22, 2020 - June 14, 2021
CHARLES SCHWAB & CO., INC.
January 17, 2020 - June 14, 2021
CHARLES SCHWAB & CO., INC.
November 8, 2016 - November 13, 2019
ALIGHT FINANCIAL ADVISORS, LLC
November 8, 2016 - November 13, 2019
ALIGHT FINANCIAL SOLUTIONS, LLC
September 11, 2015 - August 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 2015 - August 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 31, 2012 - July 15, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 31, 2012 - July 15, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 10, 2011 - September 6, 2012
CHASE INVESTMENT SERVICES CORP.
February 11, 2011 - September 6, 2012
CHASE INVESTMENT SERVICES CORP.
December 1, 1986 - November 26, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 1984 - November 26, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
Q3 ADVISORS, LLC
CRD#: 284220 / SEC#: 801-129519
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationCurrent Firm
Q3 ADVISORS, LLC
CRD#: 284220 / SEC#: 801-129519
Contact information
SEC notice filing (21 States and Territories)
Documents
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.
