Robert A. Gropper
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 Alan Gropper was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 11 firms and has passed the Series 65, Series 63, SIE, PC, Series 000, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2003 - December 31, 2014
NORTHEAST SECURITIES, LLC
December 20, 2002 - July 18, 2003
THE KEY GROUP INC.
May 31, 2002 - January 14, 2003
UBS FINANCIAL SERVICES INC.
June 15, 1994 - January 14, 2003
UBS FINANCIAL SERVICES INC.
June 23, 1989 - June 1, 1994
PRUDENTIAL EQUITY GROUP, LLC
October 17, 1983 - June 7, 1989
ADVEST, INC.
November 2, 1981 - May 17, 1983
J.P. MORGAN SECURITIES LLC
April 22, 1981 - February 2, 1982
COWEN SECURITIES INC.
July 11, 1980 - February 15, 1981
FINANCIAL SQUARE PARTNERS
March 6, 1979 - June 20, 1980
BALIS & ZORN INC.
March 31, 1975 - April 5, 1979
CIBC WORLD MARKETS CORP.
May 13, 1971 - April 30, 1975
EDWARDS & HANLY
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: 5/19/1977
AMEX Put and Call ExamSeries 000
Date: 10/14/1971
General Securities Principal ExaminationSeries 1
Date: 5/10/1971
Registered Representative ExaminationSeries 12
Date: 9/19/1981
NYSE Branch Manager ExaminationCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
