Robert A. Grant
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 Alan Grant JR, who also goes by Bob Grant, Bobo Grant, Robert A (jr) Grant, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 4 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
April 14, 2021 - January 17, 2025
PUMA CAPITAL, LLC
September 23, 2013 - July 5, 2019
BGC FINANCIAL, L.P.
June 4, 2002 - April 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2001 - May 29, 2002
RUMSON CAPITAL, LLC
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: 11/30/2001
Limited Representative-Equity Trader ExamCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
