Deborah K. Grodecki
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.
Deborah Kay Grodecki, who also goes by Deborah Kay Bryant, Deborah Kay Tomkins, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1993. Deborah had worked at 15 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2021 - January 8, 2025
IP FINANCIAL ADVISORY SERVICES LLC
March 16, 2021 - January 8, 2025
INNOVATION PARTNERS LLC
January 26, 2021 - March 3, 2021
OSAIC WEALTH, INC.
December 21, 2018 - July 7, 2020
CETERA ADVISORS LLC
December 21, 2018 - July 7, 2020
CETERA ADVISORS LLC
October 5, 2017 - December 24, 2018
QUESTAR ASSET MANAGEMENT, INC.
October 5, 2017 - December 24, 2018
QUESTAR CAPITAL CORPORATION
January 5, 2017 - September 22, 2017
WFG ADVISORS, LP
January 5, 2017 - September 26, 2017
WFG INVESTMENTS, INC.
June 15, 2016 - November 30, 2016
KESTRA ADVISORY SERVICES, LLC
June 15, 2016 - November 30, 2016
KESTRA INVESTMENT SERVICES, LLC
December 9, 2015 - June 6, 2016
RIA ADVISORS
March 21, 2013 - April 15, 2015
HARRISDIRECT LLC
March 21, 2013 - April 15, 2015
E*TRADE SECURITIES LLC
October 22, 2010 - March 1, 2013
NEXT FINANCIAL GROUP, INC.
October 8, 2010 - March 1, 2013
NEXT FINANCIAL GROUP, INC.
October 5, 1993 - November 25, 2008
CITIGROUP GLOBAL MARKETS INC.
September 21, 1993 - November 25, 2008
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 5/2/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
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.
