Thomas A. Grose
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.
Thomas August Grose, who also goes by Tom Grose, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2012 - September 9, 2015
EVEREST FINANCIAL GROUP
July 21, 2006 - August 31, 2015
SECURITIES AMERICA, INC.
March 1, 2006 - July 21, 2006
USALLIANZ SECURITIES, INC.
March 3, 1997 - March 2, 2006
OSAIC WEALTH, INC.
April 10, 1994 - March 3, 1997
WORKMAN SECURITIES CORPORATION
September 1, 1993 - April 8, 1994
COVENANT SECURITIES, INC.
April 17, 1989 - August 16, 1993
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
EVEREST FINANCIAL GROUP
CRD#: 137260 / SEC#: 801-67635
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
EVEREST FINANCIAL GROUP
CRD#: 137260 / SEC#: 801-67635
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,667 |
| AUM (Assets Under Management) | $ 912,366,781 |
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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