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SG

Stephen M. Grosberg

Some features on this profile are disabled
CRD#: 230721
SG

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.

Stephen Michael Grosberg was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1957. Stephen had worked at 8 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 9, 2011 - July 11, 2012

LIGHTSPEED TRADING, LLC

BD
CRD#: 35519
NEW YORK, NY
Past

July 26, 2005 - May 2, 2011

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

January 3, 2003 - February 28, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
NEW YORK, NY
Past

March 19, 1998 - July 25, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 22, 1989 - March 13, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 24, 1984 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

July 13, 1978 - October 25, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

December 24, 1974 - July 13, 1978

BECKER SECURITIES INCORPORATED

BD
CRD#: 6796
Past

January 11, 1957 - November 25, 1975

A. G. BECKER & CO., INCORPORATED

BD
CRD#: 3

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/17/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 2/6/1979
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 1/11/1957
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 11/22/1971
Registered Principal Examination

Current Firm

LT
LIGHTSPEED TRADING, LLC
LIGHTSPEED TRADING, LLC | SUBERT SECURITIES, LLC | SUBERT SECURITIES, INC. | SCHONFELD & COMPANY, LLC

CRD#: 35519 / SEC#: , 8-46795

BD
Terminated by SEC on 07/14/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 08/25/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PROFESSIONAL TRADING SOLUTIONS, INC.DIRECT OWNER
GIBB, THOMAS ANTHONYCO-PRESIDENT4750905
LYONS, JASON ROBERTFINOP2921790
NAIB, FARID AHMEDCEO6285310
PETZOLD, KEITH WILLIAMCHIEF COMPLIANCE OFFICER2944070

Disclosures

Regulatory Event19
Arbitration1

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.

Company Information

LIGHTSPEED TRADING, LLC

CRD#: 35519

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