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RG

Robert J. Grum

SRT SECURITIES LLC
BIRMINGHAM, MI 48009
Some features on this profile are disabled
CRD#: 4046801
RG

Professional summary

Robert John Grum is a registered financial professional currently at SRT SECURITIES LLC located in Birmingham, Michigan.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2008. Robert has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert John Grum's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 14, 2020 - Present

SRT SECURITIES LLC

Office #1: 416 Hawthorne Street, Birmingham, MI 48009
BD
CRD#: 33725
BIRMINGHAM, MI
Past

December 9, 2013 - October 19, 2020

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

January 29, 2008 - December 6, 2013

CTC XS, LLC

BD
CRD#: 139078
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/12/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/19/2015
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/17/2012
Registered Options Principal Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

SS
SRT SECURITIES LLC
ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: , 8-34415

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
416 Hawthorne Street, Birmingham, MI 48009
Mailing Address
416 Hawthorne Street, Birmingham, MI 48009
Phone number
(917) 282-4757
Established
Delaware since 05/24/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SRT SECURITIES INC.MEMBER
FRUCHTER, MICHAEL ALANCFO/FINANCIAL & OPERATIONS PRINCIPAL4202965
TOBIAS, STEPHEN RORYPRESIDENT, CCO, S.R.O.P. & C.R.O.P.1267337

Disclosures

Regulatory Event24

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.

Company Information

SRT SECURITIES LLC

CRD#: 33725Birmingham, MI 48009

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