Robert E. Grace
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.
Robert Edward Grace, who also goes by Bob Grace, R.e. Grace, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 22 firms and has passed the Series 63, PC, Series 1 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
June 29, 2023 - June 24, 2024
VERTIS WEALTH, LLC
June 24, 2020 - May 17, 2022
AE WEALTH MANAGEMENT, LLC
July 31, 2015 - May 8, 2020
GRACE CAPITAL MANAGEMENT, LLC
March 25, 2010 - April 11, 2012
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
August 26, 2008 - December 22, 2009
AMERICAN INVESTMENT SERVICES
January 4, 2008 - December 31, 2008
GRACE INVESTMENT ADVISORY GROUP, LLC
June 5, 2003 - September 30, 2004
USA FINANCIAL SECURITIES LLC
October 10, 2002 - May 30, 2003
PRINCIPAL SECURITIES, INC.
December 7, 2001 - October 10, 2002
QA3 FINANCIAL CORP.
March 16, 2000 - December 6, 2001
IDS LIFE INSURANCE COMPANY
March 16, 2000 - December 6, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
May 2, 1996 - March 16, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 1995 - April 26, 1996
WMA SECURITIES, INC.
March 11, 1993 - September 15, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 26, 1992 - March 19, 1993
ESSEX NATIONAL SECURITIES, LLC
March 27, 1987 - November 14, 1990
USF&G INVESTMENT SERVICES, INC.
May 7, 1985 - June 24, 1986
ROYAL HUTTON SECURITIES CORP.
December 28, 1981 - July 18, 1985
LINCOLN NATIONAL PENSION INSURANCE COMPANY
February 19, 1981 - June 18, 1985
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 19, 1981 - June 18, 1985
OSAIC FA, INC.
March 2, 1971 - May 21, 1980
JOHN HANCOCK DISTRIBUTORS LLC
October 23, 1969 - February 22, 1971
GREAT NORTHERN SECURITIES CORP
Primary Firm SEC Registration
VERTIS WEALTH, LLC
CRD#: 307270 / SEC#: 801-132579
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
PC
Date: 4/12/1993
AMEX Put and Call ExamSeries 1
Date: 10/18/1969
Registered Representative ExaminationCurrent Firm
VERTIS WEALTH, LLC
CRD#: 307270 / SEC#: 801-132579
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,850 |
| AUM (Assets Under Management) | $ 115,077,651 |
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.
