Alva L. Grier
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.
Alva L Grier, who also goes by Al Grier, Alva Lewis Grier, Alva Grier, was a registered financial professional .
Alva is a previously registered financial professional and started their career in finance in 1973. Alva had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2018 - November 3, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 29, 2018 - November 3, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 9, 2015 - March 1, 2018
OSAIC FS, INC.
December 8, 2015 - March 1, 2018
OSAIC FS, INC.
December 31, 2001 - October 7, 2015
MSI FINANCIAL SERVICES, INC.
August 19, 1998 - October 7, 2015
MSI FINANCIAL SERVICES, INC.
August 17, 1998 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 5, 1982 - July 28, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 5, 1982 - July 28, 1998
EQUITABLE ADVISORS, LLC
June 24, 1980 - January 5, 1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 28, 1976 - April 30, 1980
ADVANTAGE CAPITAL CORPORATION
October 14, 1975 - July 28, 1976
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 2, 1973 - April 12, 1975
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 10/29/1973
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
