Harry Grisser
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.
Harry Grisser was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1994. Harry had worked at 5 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7, Series 53, Series 8, Series 4 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
July 7, 2004 - February 11, 2013
FIRST SOUTHWEST COMPANY, LLC
January 4, 2001 - June 17, 2004
HILLTOP SECURITIES INC.
June 10, 1998 - December 2, 2003
MYDISCOUNTBROKER.COM
February 23, 1998 - October 1, 1999
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
December 8, 1994 - July 19, 1999
MOMENTUM INDEPENDENT NETWORK INC.
August 11, 1994 - September 29, 1999
HILLTOP SECURITIES INC.
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
Series 55
Date: 8/28/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 4/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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