David H. Grumer
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 Hugh Grumer was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 6 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2001 - April 10, 2006
WELLFLEET INVESTMENTS LLC
August 17, 1998 - October 20, 1999
CORE PACIFIC SECURITIES USA LLC
July 1, 1998 - July 31, 1998
NEW WORLD SECURITIES, INC.
March 4, 1997 - March 3, 2000
MAGNUM SECURITIES OF NEW YORK INC.
February 28, 1996 - December 4, 1997
RIVERBANK SECURITIES, LLC
March 21, 1995 - March 29, 1996
OSAIC WEALTH, 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
WELLFLEET INVESTMENTS LLC
CRD#: 18488 / SEC#: , 8-36769
Contact information
FINRA licenses (10 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEGA, JEFFREY | PRESIDENT/FINANCE/COO/CFO/CCO/FINOP | |
| J.P. CAREY CAPITAL MARKETS LLC | OWNER | |
| PRIMAVERA, PATRICK JOSEPH | DIRECTOR | 3124567 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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