Carey S. Gruenbaum
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.
Carey Steve Gruenbaum was a registered financial professional .
Carey is a previously registered financial professional and started their career in finance in 1997. Carey had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2012 - May 30, 2013
PURSHE KAPLAN STERLING INVESTMENTS
October 28, 2011 - June 28, 2012
AEGIS CAPITAL CORP.
March 2, 2006 - April 18, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 2, 2006 - November 3, 2009
OSAIC FA, INC.
July 3, 1997 - August 12, 2005
METROPOLITAN LIFE INSURANCE COMPANY
July 3, 1997 - August 12, 2005
MSI FINANCIAL SERVICES, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
