Robert Grgas
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 Grgas was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2021 - April 14, 2026
EMPIRE ASSET MANAGEMENT COMPANY
June 28, 2016 - December 31, 2020
EMPIRE ASSET MANAGEMENT COMPANY
October 19, 2015 - June 28, 2016
BISHOP, ROSEN & CO., INC.
January 3, 2006 - December 31, 2014
BISHOP, ROSEN & CO., INC.
April 6, 2005 - August 30, 2005
SETON SECURITIES GROUP, INC.
September 30, 2003 - April 1, 2005
WILSON-DAVIS & CO., INC.
April 11, 1995 - September 11, 2003
PARAGON CAPITAL MARKETS, INC.
February 1, 1994 - February 15, 1995
BISHOP, ROSEN & CO., 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
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.
