Carla D. Grumann
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.
Carla Decew Grumann, who also goes by Carla Maria Decew, was a registered financial professional .
Carla is a previously registered financial professional and started their career in finance in 1996. Carla had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 22, 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
June 23, 2021 - December 1, 2023
RCX CAPITAL GROUP, LLC
January 18, 2019 - January 13, 2020
RCX CAPITAL GROUP, LLC
May 18, 2010 - September 15, 2011
NORTHSTAR SECURITIES, LLC
August 11, 2004 - September 4, 2008
HINES PRIVATE WEALTH SOLUTIONS LLC
April 7, 2003 - July 26, 2004
CURIAN CAPITAL, LLC
March 6, 2003 - July 26, 2004
INVESTMENT CENTERS OF AMERICA, INC.
November 10, 1998 - February 26, 2003
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 23, 1997 - October 5, 1998
NEW ENGLAND SECURITIES
August 29, 1996 - June 2, 1997
TRANS FINANCIAL INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
RCX CAPITAL GROUP, LLC
CRD#: 114290 / SEC#: , 8-53416
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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