Otto F. Grote
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.
Otto Frederick Grote was a registered financial professional .
Otto is a previously registered financial professional and started their career in finance in 1967. Otto had worked at 3 firms and has passed the 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
January 30, 1980 - September 13, 1999
DERBY SECURITIES, INC.
May 23, 1972 - December 7, 1979
VAN BERGEN & CO., INCORPORATED
April 4, 1967 - July 26, 1972
SELIGMAN SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/6/1963
Registered Representative ExaminationSeries 00
Date: 5/4/1972
General Securities Principal ExaminationCurrent Firm
DERBY SECURITIES, INC.
CRD#: 8100 / SEC#: , 8-24367
Contact information
Documents
Red Flags
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