Robert M. Griswold
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.
Robert Matthew Griswold, who also goes by Bob Griswold, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 3 firms and has passed the Series 65, 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
June 13, 1994 - June 26, 2018
1ST GLOBAL ADVISORS INC
October 27, 1992 - November 1, 2016
1ST GLOBAL CAPITAL CORP.
February 21, 1985 - October 26, 1992
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
