Robert K. Grossman
Professional summary
Robert Keith Grossman was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert Keith Grossman, who also goes by Robert Grossman, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1999. Robert had worked at 14 firms and has passed the Series 65, Series 63, SIE 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
April 15, 2016 - August 15, 2016
DAVID LERNER ASSOCIATES, INC.
January 27, 2015 - December 28, 2015
NATIONAL PLANNING CORPORATION
April 9, 2014 - January 12, 2015
SANTANDER SECURITIES LLC
July 25, 2012 - August 28, 2013
MML INVESTORS SERVICES, LLC
February 1, 2010 - October 8, 2010
EMERSON EQUITY LLC
June 11, 2008 - January 28, 2010
CHASE INVESTMENT SERVICES CORP.
June 4, 2008 - January 28, 2010
CHASE INVESTMENT SERVICES CORP.
February 13, 2008 - May 22, 2008
J. B. HANAUER & CO.
February 1, 2008 - May 22, 2008
J. B. HANAUER & CO.
April 2, 2007 - February 7, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 7, 2008
MORGAN STANLEY & CO. LLC
April 21, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 21, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
November 29, 2004 - April 26, 2006
AMERIPRISE ADVISOR SERVICES, INC.
November 29, 2004 - April 26, 2006
AMERIPRISE ADVISOR SERVICES, INC.
August 8, 2002 - November 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 4, 2001 - November 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 25, 2001 - October 2, 2001
QUICK & REILLY, INC.
October 25, 2000 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
December 17, 1999 - October 25, 2000
PRUDENTIAL EQUITY GROUP, 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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