Keith D. Grossman
Professional summary
Keith Dennis Grossman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Keith is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Keith had worked at 9 firms, which includes LEGEND MERCHANT GROUP INC., ASH FINANCIAL CORP., H.J. MEYERS & CO. INC., INVESTORS ASSOCIATES INC., MEYERS POLLOCK ROBBINS INC., INSTITUTIONAL EQUITY CORPORATION, CAMELOT INVESTMENT CORP., FIRST ASSET MANAGEMENT INC., FIRST CHOICE SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 1997 - December 10, 1997
LEGEND MERCHANT GROUP, INC.
August 8, 1997 - November 7, 1997
ASH FINANCIAL CORP.
April 28, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
May 2, 1995 - April 18, 1997
INVESTORS ASSOCIATES, INC.
January 26, 1995 - May 12, 1995
MEYERS POLLOCK ROBBINS, INC.
April 19, 1994 - December 15, 1994
INSTITUTIONAL EQUITY CORPORATION
May 18, 1993 - April 26, 1994
CAMELOT INVESTMENT CORP.
December 17, 1991 - May 25, 1993
FIRST ASSET MANAGEMENT, INC.
June 17, 1991 - December 24, 1991
FIRST CHOICE SECURITIES CORP.
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
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 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.
