Renee S. 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.
Renee Shari Grossman was a registered financial professional .
Renee is a previously registered financial professional and started their career in finance in 1997. Renee had worked at 5 firms and has passed the Series 63, 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
November 19, 2012 - October 30, 2014
TERRANOVA CAPITAL EQUITIES, INC
February 7, 2008 - July 31, 2010
TERRANOVA CAPITAL EQUITIES, INC
December 15, 2006 - January 18, 2008
LADENBURG THALMANN & CO. INC.
August 21, 2006 - November 21, 2007
THE KLEIN GROUP, LLC
February 2, 2006 - July 20, 2006
WESTBURY GROUP LLC
September 4, 1997 - February 1, 1999
THE SHATTAN GROUP LLC
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
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
