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MG

Michael S. Grobe

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CRD#: 2826741
MG

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.

Michael Scott Grobe was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 31, 2003 - October 26, 2004

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
BIRMINGHAM, AL
Past

September 8, 1999 - May 5, 2000

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

December 20, 1996 - September 1, 1999

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/30/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AI
AMSOUTH INVESTMENT SERVICES, INC.
AMSOUTH CAPITAL, INC. | AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692 / SEC#: , 8-32565

BD
Terminated by SEC on 01/13/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Alabama since 08/27/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AMSOUTH BANKOWNER
BAGBY, CANDICE WAGGENERDIRECTOR2700657
DANIEL, MICHAEL CURTISDIRECTOR4476150
HALL, O B GRAYSONDIRECTOR5059448
MAYER, W CHARLES IIIDIRECTOR2801550
PARKS, KEVIN WILLIAMPRESIDENT/CEO, CCO, FINOP, CFO2933659
PIHERA, JIM ADIRECTOR5070878
SAAB, PETER THOMASSROP, CROP2058539
STEPHENSON, ERNEST WINN JRDIRECTOR2801549
TWITTY, THOMAS BARTONDIRECTOR4657089

Disclosures

Regulatory Event8

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.

Company Information

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

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