Ree H. Grossman

NORTH SOUTH CAPITAL

CHICAGO, IL

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CRD#: 1852996

Professional summary

Ree Heather Grossman, who also goes by Ree H Koenigsberg, Ree Heather Koenigsberg, is a registered financial advisor currently at NORTH SOUTH CAPITAL, LLC located in Chicago, Illinois.

Ree is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ree has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ree H Koenigsberg | Ree Heather Koenigsberg

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INSURANCE PRODUCTS. LOCAL SCHOOL COUNSEL BOARD SCHOOL- 6445 W. STRONG ST. CHICAGO, IL. SCHOOL BOARD. 2 HRS PER WEEK, NONE DURING BUSINESS HRS. NO COMPENSATION;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ree Heather Grossman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ree Heather Grossman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 20, 2012 - Present

NORTH SOUTH CAPITAL, LLC

RIA

CRD#: 148158

CHICAGO, IL

Current

November 20, 2012 - Present

NORTH SOUTH CAPITAL, LLC

Office #1: 321 West Maple Street Suite 100, New Lenox, IL 60451Office #2: 321 West Maple Street Suite 100, New Lenox, IL 60451-4409

RIA

CRD#: 148158

New Lenox, IL

Past

October 19, 2012 - November 20, 2012

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

CHICAGO, IL

Past

October 4, 2012 - November 20, 2012

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

CHICAGO, IL

Past

June 1, 2009 - October 5, 2012

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

June 1, 2009 - October 5, 2012

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

Past

February 18, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHICAGO, IL

Past

February 18, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHICAGO, IL

Past

October 31, 2000 - February 22, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

August 17, 2000 - February 22, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(11/20/2012)

IAR

Illinois
(11/20/2012)

Michigan
(3/11/2019)

New York
(2/18/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/31/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/29/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/16/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NORTH SOUTH CAPITAL, LLC

CRD#: 148158 / SEC#: , 8-67979

Illinois

Registered Investment Advisory firm - SEC (2/13/2009 Approved)

Indiana

Registered Investment Advisory firm - SEC (8/18/2009 Approved)

Texas

Registered Investment Advisory firm - SEC (8/7/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

321 West Maple Street Suite 100, New Lenox, IL 60451-4409

Mailing Address

321 West Maple Street Suite 201, New Lenox, IL 60451

Phone number

(312) 445-5400

Established

Illinois since 06/20/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
OTT, JANE KARPINSKI	MANAGING MEMBER/PRESIDENT	1979000
ODONNELL, CHRISTOPHER L	CCO/FINOP/CFO	3010853
VASIL, AARON	VICE PRESIDENT	4534079

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 25,887,891

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Ree H. Grossman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ree Heather Grossman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ree Heather Grossman's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH SOUTH CAPITAL, LLC

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

LASALLE ST SECURITIES, L.L.C.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 8/31/2000

SIE

Date: 10/1/2018

Series 31

Date: 5/29/2008

Series 7

Date: 8/16/2000

FINRA

Current Firm

NORTH SOUTH CAPITAL, LLC

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NORTH SOUTH CAPITAL, LLC

TRUST BUT VERIFY

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