David J. Grasse
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.
David James Grasse was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1994. David had worked at 7 firms and has passed the Series 65, Series 63 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
October 3, 2008 - December 31, 2010
GRASSE CAPITAL MANAGEMENT, LLC
July 6, 2004 - June 20, 2008
GUARDIAN ADVISORS, LLC
January 28, 1997 - March 9, 2001
FSC SECURITIES CORPORATION
December 21, 1995 - December 13, 1996
WADDELL & REED
April 10, 1995 - April 25, 1995
WADDELL & REED
September 29, 1994 - January 30, 1995
AMERIPRISE ADVISOR SERVICES, INC.
July 19, 1994 - September 30, 1994
IDS LIFE INSURANCE COMPANY
July 19, 1994 - September 30, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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