Laurence A. Gross
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.
Laurence Anthony Gross, who also goes by Laurence Anthony Gross, Laurence Gross, Laurence A Gross, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1988. Laurence had worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2021 - August 9, 2022
ROBINHOOD FINANCIAL, LLC
March 3, 2020 - September 29, 2020
MML INVESTORS SERVICES, LLC
February 26, 2020 - September 29, 2020
MML STRATEGIC DISTRIBUTORS, LLC
February 26, 2020 - September 29, 2020
MML INVESTORS SERVICES, LLC
May 22, 2019 - September 5, 2019
PRUCO SECURITIES, LLC.
February 13, 2019 - September 5, 2019
PRUCO SECURITIES, LLC.
June 13, 2017 - February 8, 2019
FORESTERS ADVISORY SERVICES, LLC
June 13, 2017 - February 8, 2019
FORESTERS FINANCIAL SERVICES, INC.
October 16, 2012 - July 2, 2015
WORLD INVESTMENTS, LLC
September 24, 2012 - July 2, 2015
WORLD INVESTMENTS, LLC
June 21, 1988 - March 25, 1991
DEUTSCHE BANK CAPITAL 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
Current Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 7 |
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.
