Randy S. Grossman
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.
Randy Scott Grossman was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 2000. Randy had worked at 4 firms and has passed the Series 63, Series 7, Series 53 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
November 29, 2012 - August 16, 2013
PACIFIC PEARL GROUP
September 1, 2011 - October 18, 2011
NEWBRIDGE SECURITIES CORPORATION
August 16, 2007 - January 24, 2011
ALLY INVEST SECURITIES LLC
February 23, 2000 - September 17, 2002
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PACIFIC PEARL GROUP
CRD#: 148077 / SEC#: , 8-67968
Contact information
Documents
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.
