Fred Granik
Professional summary
Fred Granik was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Fred is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Fred had worked at 8 firms, which includes DAVID LERNER ASSOCIATES INC., UBS FINANCIAL SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, AIBC INVESTMENT SERVICES CORPORATION, JOSEPH DILLON & COMPANY INC., ROYCE INVESTMENT GROUP INC., GLOBAL EQUITIES GROUP INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2003 - November 6, 2003
DAVID LERNER ASSOCIATES, INC.
August 29, 1999 - February 7, 2003
UBS FINANCIAL SERVICES INC.
July 15, 1998 - June 14, 1999
IDS LIFE INSURANCE COMPANY
July 15, 1998 - June 14, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
August 20, 1997 - January 23, 1998
AIBC INVESTMENT SERVICES CORPORATION
February 12, 1997 - June 13, 1997
JOSEPH DILLON & COMPANY INC.
January 14, 1997 - February 12, 1997
ROYCE INVESTMENT GROUP, INC.
November 29, 1996 - January 15, 1997
GLOBAL EQUITIES GROUP INC
September 20, 1996 - October 7, 1996
JOSEPH DILLON & COMPANY 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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