August F. Grove
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.
August Francis Grove, who also goes by Augie Grove, was a registered financial professional .
August is a previously registered financial professional and started their career in finance in 1998. August had worked at 5 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2009 - September 29, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
December 8, 2008 - April 21, 2010
PREBON FINANCIAL PRODUCTS INC.
July 20, 2004 - July 6, 2007
RBC CAPITAL MARKETS CORPORATION
January 5, 2004 - June 18, 2004
MAKO GLOBAL DERIVATIVES LLC
December 2, 1998 - August 2, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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: 1/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
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.
