Thomas R. Gramins
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 Richard Gramins was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 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
March 16, 2015 - December 22, 2017
GEM FINANCIAL ADVISORS, INC.
April 6, 2010 - April 22, 2016
LPL FINANCIAL LLC
September 8, 2009 - December 20, 2017
LPL FINANCIAL LLC
December 2, 2004 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
January 25, 2000 - November 26, 2004
UBS FINANCIAL SERVICES INC.
January 3, 2000 - November 26, 2004
UBS FINANCIAL SERVICES INC.
November 25, 1991 - April 3, 2000
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
GEM FINANCIAL ADVISORS, INC.
CRD#: 123031 / SEC#: 801-70834
Contact information
Red Flags
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