Seth D. Grubman
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.
Seth Daniel Grubman was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1997. Seth had worked at 4 firms and has passed the Series 66, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2011 - July 31, 2014
BNP PARIBAS INVESTMENT SERVICES, LLC
January 17, 2003 - April 29, 2004
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - April 29, 2004
CREDIT SUISSE SECURITIES (USA) LLC
October 10, 2001 - January 17, 2003
PERSHING LLC
May 21, 2001 - January 17, 2003
PERSHING LLC
January 14, 1997 - May 26, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
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Exams
Series 55
Date: 4/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
BNP PARIBAS INVESTMENT SERVICES, LLC
CRD#: 44598 / SEC#: , 8-50745
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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