Frank S. Groseclose
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.
Frank Snider Groseclose was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1968. Frank had worked at 7 firms and has passed the Series 5, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 1991 - December 31, 1995
WATERFORD CAPITAL, INC.
February 14, 1986 - May 5, 1989
WEBER, HALL, SALE & ASSOCIATES, INC.
November 21, 1984 - February 26, 1985
HILLTOP SECURITIES INC.
February 23, 1981 - February 9, 1984
CANTOR FITZGERALD & CO.
July 8, 1975 - November 30, 1976
MARCUS SCHLOSS & CO., INC.
June 14, 1972 - October 7, 1973
JEFFERIES LLC
August 27, 1968 - March 24, 1972
GOODNICK & SON 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 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 12/24/1958
Registered Representative ExaminationSeries 00
Date: 8/13/1968
General Securities Principal ExaminationCurrent Firm
WATERFORD CAPITAL, INC.
CRD#: 21687 / SEC#: , 8-39210
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
