Howard W. Gruber
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.
Howard William Gruber was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1990. Howard had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - March 4, 2013
SECURIAN FINANCIAL SERVICES, INC.
January 22, 2013 - March 4, 2013
SECURIAN FINANCIAL SERVICES, INC.
March 2, 2011 - January 10, 2013
FINANCIAL TELESIS INC
March 1, 2011 - January 10, 2013
FINANCIAL TELESIS INC
March 24, 2009 - March 3, 2011
ARETE WEALTH ADVISORS, LLC
March 23, 2009 - March 3, 2011
ARETE WEALTH MANAGEMENT, LLC
January 13, 2009 - March 19, 2009
PRIVATE WEALTH ADVISORS, INC.
August 1, 2006 - December 31, 2008
PRIVATE CONSULTING GROUP, INC.
August 1, 2006 - March 19, 2009
PRIVATE CONSULTING GROUP, INC.
January 26, 2004 - August 4, 2006
KESTRA INVESTMENT SERVICES, LLC
January 16, 2003 - August 4, 2006
KESTRA INVESTMENT SERVICES, LLC
June 6, 2002 - December 4, 2002
SUNAMERICA SECURITIES, INC.
April 9, 1999 - September 13, 2001
NEW ENGLAND SECURITIES
March 3, 1997 - March 9, 1999
BA INVESTMENT SERVICES, INC.
June 3, 1994 - May 22, 1996
ALLSTATE FINANCIAL SERVICES, LLC
June 10, 1993 - November 4, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 24, 1991 - July 13, 1993
SECURIAN FINANCIAL SERVICES, INC.
November 5, 1990 - September 12, 1991
MONY SECURITIES 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
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
