Richard J. Grzan Jr
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.
Richard James Grzan Jr, who also goes by Jr Grzan, Richard J Grzan Jr, Richard J Grzan, Richard James Grzan Jr, Richard James Grzan, Richard J Grzan Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
June 13, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
December 9, 2008 - February 26, 2018
SCOTTRADE, INC.
June 17, 2005 - December 1, 2008
MURIEL SIEBERT & CO., LLC
September 28, 2004 - June 17, 2005
UBS FINANCIAL SERVICES INC.
February 18, 2004 - July 21, 2004
CHARLES SCHWAB & CO., INC.
November 4, 1997 - January 6, 2003
CHARLES SCHWAB & CO., INC.
May 30, 1996 - September 23, 1997
MORGAN STANLEY DEAN WITTER ONLINE INC.
October 25, 1994 - June 17, 1996
ACUMENT SECURITIES, INC.
December 2, 1993 - October 17, 1994
CHARLES SCHWAB & CO., INC.
June 4, 1993 - October 22, 1993
ENTERTAINMENT SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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