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IG

Isaac C. Grossman

Some features on this profile are disabled
CRD#: 2905125
IG

Professional summary

Isaac C Grossman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Isaac is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Isaac had worked at 12 firms, which includes BASIS FINANCIAL LLC, IFS SECURITIES, J.P. TURNER & COMPANY L.L.C., ITRADEDIRECT.COM CORP, GUNNALLEN FINANCIAL INC, EMMETT A LARKIN COMPANY INC., SALOMON GREY FINANCIAL CORPORATION, REID & RUDIGER LLC, MILESTONE GROUP MANAGEMENT LLC, WINDSOR STREET CAPITAL LP, BARRON CHASE SECURITIES INC., LH ROSS & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Isaac Charles Grossman

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

July 2, 2009 - March 29, 2010

BASIS FINANCIAL, LLC

BD
CRD#: 43694
N. MIAMI BEACH, FL
Past

September 11, 2008 - June 29, 2009

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

February 28, 2008 - August 14, 2008

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
DEERFIELD BEACH, FL
Past

December 7, 2007 - March 6, 2008

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
BOCA RATON, FL
Past

August 8, 2007 - December 21, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
FT. LAUDERDALE, FL
Past

November 1, 2005 - August 20, 2007

EMMETT A LARKIN COMPANY, INC.

BD
CRD#: 6625
FORT LAUDERDALE, FL
Past

April 11, 2003 - November 14, 2005

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

November 18, 2002 - April 9, 2003

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

October 25, 2002 - November 20, 2002

MILESTONE GROUP MANAGEMENT LLC

BD
CRD#: 44486
LAKE SUCCESS, NY
Past

April 27, 2001 - October 31, 2002

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

October 4, 2000 - May 22, 2001

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

August 12, 1997 - November 7, 2000

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

July 28, 1997 - September 25, 1997

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL

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: 9/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/26/1997
General Securities Representative Examination

Current Firm

BF
BASIS FINANCIAL, LLC
BASIS FINANCIAL, LLC | OMNI SECURITIES, L.L.C.

CRD#: 43694 / SEC#: , 8-50367

BD
Terminated by SEC on 02/14/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 07/15/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SOUTHEASTERN FINANCIAL HOLDINGSSHAREHOLDER
KARAPETYAN, ARMENPRESIDENT

Disclosures

Regulatory Event3
Arbitration1

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

BASIS FINANCIAL, LLC

CRD#: 43694

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