Noah P. Grassi
Professional summary
Noah Peter Grassi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Noah is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Noah had worked at 2 firms, which includes INVESTEC INC., D. H. BLAIR & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 1998 - October 27, 1998
INVESTEC INC.
August 7, 1997 - February 4, 1998
D. H. BLAIR & CO., 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
INVESTEC INC.
CRD#: 18553 / SEC#: , 8-36892
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA GROUP, INC. | PARENT COMPANY | |
| BURGHARDT MC DONOUGH, RITA CHRISTINE | SECRETARY | 4324201 |
| DRAZKA, FRANK JERRY | PRESIDENT | 2208093 |
| HERMAN, HUGH SIDNEY | DIRECTOR; CHAIRMAN OF THE BOARD | 3005992 |
| KANTOR, BERNARD | DIRECTOR | 3005897 |
| KOSEFF, STEPHEN | DIRECTOR | 3009705 |
| MURABITO, JOHN JAMES | CEO/ACTING HEAD OF CORP. FINANCE & CAP. MARKETS | 1075873 |
| PARAGGIO, STEVEN JOHN | CFO | 2495234 |
| RAPPAPORT, DAVID ROBERT | GENERAL COUNSEL | 2212433 |
| ROSENBLUM, SCOTT S. | DIRECTOR | 4251370 |
| WACHLER, LARRY PHILLIP | CCO/AML OFFICER | 1239220 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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