Arvid J. Groswald
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.
Arvid John Groswald JR was a registered financial professional .
Arvid is a previously registered financial professional and started their career in finance in 1991. Arvid had worked at 6 firms and has passed the Series 63, SIE 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
June 30, 2011 - March 19, 2015
INVESTORS CAPITAL CORP.
January 20, 2010 - June 30, 2011
SII INVESTMENTS, INC.
October 31, 2005 - December 31, 2009
OSAIC SERVICES, INC.
May 15, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
February 15, 1991 - October 31, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 15, 1991 - October 31, 1991
EQUITABLE ADVISORS, 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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