Robert Gross
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.
Robert Gross was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 3 firms and has passed the Series 63, Series 21, Series 25, Series 7 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2014 - April 30, 2014
WTS PROPRIETARY TRADING GROUP LLC
January 25, 2010 - April 27, 2012
BARCLAYS CAPITAL INC.
August 1, 1997 - January 27, 2010
LABRANCHE & CO. LLC
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 21
Date: 3/28/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 10/19/1999
NYSE Trading Assistant ExaminationSeries 14A
Date: 11/30/2005
Compliance Official Specialist ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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