Cary M. Grossman
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.
Cary Mark Grossman was a registered financial professional .
Cary is a previously registered financial professional and started their career in finance in 1986. Cary had worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 28, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2018 - June 17, 2019
CHIRON SECURITIES LLC
January 30, 2012 - November 8, 2017
SLCA CAPITAL, LLC
November 24, 2010 - January 24, 2012
SP SECURITIES LLC
June 1, 1993 - March 8, 2004
MCFARLAND, GROSSMAN & COMPANY
February 4, 1992 - October 23, 1992
SECURITIES AMERICA, INC.
November 10, 1988 - March 3, 1990
SOUTHWESTERN EQUITIES
February 3, 1987 - December 9, 1988
H. KERR TAYLOR & COMPANY, INC.
December 26, 1986 - January 19, 1987
PLANVEST 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
Series 28
Date: 7/6/2011
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CHIRON SECURITIES LLC
CRD#: 30041 / SEC#: , 8-44665
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHNSON, SCOTT WILLIAM | MANAGING DIRECTOR/PRESIDENT/TREASURER/SECRETARY/CHIEF COMPLIANCE OFFICER/PFO/POO | 703690 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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