Gregory G. Groeller
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.
Gregory George Groeller was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1997. Gregory had worked at 6 firms and has passed the 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
August 27, 1998 - September 29, 2000
D.L. CROMWELL INVESTMENTS, INC.
July 23, 1998 - October 14, 1998
CARIBBEAN SECURITIES LLC
June 1, 1998 - July 15, 1998
J.P. TURNER & COMPANY, L.L.C.
October 20, 1997 - October 1, 1998
CAPITAL PLANNING ASSOCIATES, INC.
July 10, 1997 - October 27, 1997
M.A. GILLESPIE INVESTMENT CORP.
June 5, 1997 - December 4, 1997
ROYAL PALM INVESTMENTS, LTD.
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
D.L. CROMWELL INVESTMENTS, INC.
CRD#: 37730 / SEC#: , 8-47938
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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