Robert J. Grabowski
Professional summary
Robert John Grabowski was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Robert had worked at 14 firms, which includes AVALON PARTNERS INC., GRANTA CAPITAL GROUP LLC, THE THORNWATER COMPANY L.P., ROAN CAPITAL PARTNERS L.P., RUSSO SECURITIES INC., KERN SUSLOW SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, FIRST ASSET MANAGEMENT INC., REICH & CO. INC., GKN SECURITIES CORP., COMMONWEALTH ASSOCIATES, LEHMAN BROTHERS INC., GRUNTAL & CO. L.L.C., FINANCIAL SQUARE PARTNERS.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2009 - July 14, 2009
AVALON PARTNERS, INC.
June 27, 2003 - December 4, 2008
GRANTA CAPITAL GROUP LLC
April 10, 1997 - February 24, 2003
THE THORNWATER COMPANY, L.P.
April 11, 1996 - April 4, 1997
ROAN CAPITAL PARTNERS L.P.
July 14, 1995 - March 4, 1996
RUSSO SECURITIES INC.
February 11, 1995 - June 26, 1995
KERN, SUSLOW SECURITIES, INC.
March 11, 1994 - December 31, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 13, 1993 - March 28, 1994
FIRST ASSET MANAGEMENT, INC.
July 28, 1992 - January 26, 1993
REICH & CO., INC.
September 26, 1991 - July 21, 1992
GKN SECURITIES CORP.
November 26, 1990 - October 3, 1991
COMMONWEALTH ASSOCIATES
September 14, 1990 - December 4, 1990
LEHMAN BROTHERS INC.
July 19, 1989 - September 17, 1990
GRUNTAL & CO., L.L.C.
March 21, 1989 - June 3, 1989
FINANCIAL SQUARE PARTNERS
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 8
Date: 8/1/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVALON PARTNERS, INC.
CRD#: 41357 / SEC#: , 8-49384
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVALON PARTNERS HOLDINGS | SHAREHOLDER | |
| CHEAH, BEATRICE | PRESIDENT/ CHIEF COMPLIANCE OFFICER | 4816836 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
