David S. Gruber
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.
David Scott Gruber, CFP®, who also goes by Dave Gruber, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2008 - April 6, 2020
ROYCE FUND SERVICES, LLC
March 15, 2006 - March 24, 2008
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - March 24, 2008
FRANKLIN DISTRIBUTORS, LLC
November 18, 1999 - December 5, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 17, 1999 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
June 13, 1995 - August 24, 1999
T. ROWE PRICE INVESTMENT SERVICES, INC.
August 25, 1993 - May 22, 1995
IDS LIFE INSURANCE COMPANY
August 25, 1993 - May 22, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
June 18, 1993 - August 19, 1993
T. ROWE PRICE INVESTMENT SERVICES, 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
Current Firm
ROYCE FUND SERVICES, LLC
CRD#: 14470 / SEC#: , 8-28663
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYCE & ASSOCIATES, LP | MEMBER | |
| CLARK, CHRISTOPHER DEWITT | PRESIDENT, SUPERVISORY PRINCIPAL | 1735713 |
| DENNEEN, JOHN EDWARD | SECRETARY, GENERAL COUNSEL | 4324430 |
| GANNON, FRANCIS DOYLE | VICE PRESIDENT | 2420802 |
| PALASITS, THOMAS R | TREASURER, FINANCIAL & OPERATIONS PRINCIPAL | 1675575 |
| WILSON, DAVID BERTRAND | CHIEF COMPLIANCE OFFICER | 5780721 |
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.
