Sharanjit K. Grewal
Professional summary
Sharanjit Kaur Grewal was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sharanjit is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Sharanjit had worked at 4 firms, which includes ASSOCIATED PLANNERS INVESTMENT ADVISORY INC, ASSOCIATED SECURITIES CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WOODBURY FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2003 - January 24, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
November 6, 2002 - April 5, 2004
ASSOCIATED SECURITIES CORP.
March 9, 2001 - November 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 2001 - November 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2000 - August 25, 2000
WOODBURY 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
No current employment
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.
