David A. Gross
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.
David Anthony Gross, who also goes by David Gross, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 4 firms and has passed the Series 65, Series 63, Series 3 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
November 18, 2015 - April 5, 2018
THE CONFLUENT GROUP, LLC
December 3, 2012 - March 28, 2013
BONWICK CAPITAL PARTNERS, LLC
October 28, 2004 - March 14, 2012
CITIGROUP GLOBAL MARKETS INC.
January 28, 2000 - February 15, 2000
GOLDMAN SACHS & CO. LLC
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
THE CONFLUENT GROUP, LLC
CRD#: 281363 / SEC#:
Contact information
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.
