Barry L. Grama
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.
Barry Lawrence Grama was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1998. Barry had worked at 10 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2014 - August 18, 2014
BRAVER STERN SECURITIES LLC
February 22, 2012 - June 11, 2012
TEJAS SECURITIES GROUP, INC.
August 24, 2010 - February 17, 2012
LEGEND SECURITIES, INC.
April 16, 2010 - July 12, 2010
SEVEN POINTS CAPITAL, LLC
October 9, 2008 - January 5, 2010
LIVINGSTON SECURITIES, LLC
April 5, 2007 - April 14, 2008
TAFFERER TRADING, LLC
July 12, 2005 - March 7, 2007
SANDERS MORRIS LLC
December 7, 1999 - June 30, 2005
PUGLISI & CO.
August 14, 1998 - December 17, 1999
AXIOM CAPITAL MANAGEMENT, INC.
April 24, 1998 - August 10, 1998
PRESTON LANGLEY ASSET MANAGEMENT, 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
Series 55
Date: 9/21/1999
Limited Representative-Equity Trader ExamCurrent Firm
BRAVER STERN SECURITIES LLC
CRD#: 29108 / SEC#: 801-79168, 8-43611
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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