Ferdinand P. Groos
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.
Ferdinand Peter Groos was a registered financial professional .
Ferdinand is a previously registered financial professional and started their career in finance in 1994. Ferdinand had worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2001 - April 3, 2015
RHONE GROUP ADVISORS LLC
March 26, 1997 - March 9, 2001
RHONE GROUP L.L.C.
March 4, 1997 - March 26, 1997
RHONE GROUP L.L.C.
December 15, 1994 - March 7, 1997
LAZARD FRERES & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
RHONE GROUP ADVISORS LLC
CRD#: 106342 / SEC#: , 8-53003
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
