Joseph B. Gruber
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.
Joseph Benjamin Gruber, who also goes by Joby Gruber, Joseph B Gruber, Joseph Gruber, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 9 firms and has passed the Series 63, Series 7TO, 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
November 14, 2016 - January 7, 2021
REGULUS FINANCIAL GROUP, LLC
May 8, 2014 - April 17, 2015
CALTON & ASSOCIATES, INC.
April 22, 2010 - March 20, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 22, 2001 - April 17, 2008
ADVANTAGE CAPITAL CORPORATION
August 31, 1998 - December 31, 1998
KEOGLER, MORGAN & COMPANY, INC.
August 31, 1998 - January 12, 1999
KEOGLER INVESTMENT ADVISORY, INC.
March 4, 1989 - March 13, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 4, 1989 - March 13, 1990
MONY SECURITIES CORPORATION
January 24, 1989 - April 16, 2008
FSC SECURITIES CORPORATION
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: 3/29/2024
General Securities Representative ExaminationCurrent Firm
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
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.
