Andrea C. Grob
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.
Andrea Claudia Grob was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 2000. Andrea had worked at 4 firms and has passed the Series 66, Series 7TO, 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
November 13, 2019 - November 23, 2020
VONTOBEL SECURITIES LTD.
January 1, 2010 - December 8, 2015
UBS FINANCIAL SERVICES INC.
January 1, 2010 - December 8, 2015
UBS FINANCIAL SERVICES INC.
June 11, 2004 - January 1, 2010
UBS INTERNATIONAL INC.
September 17, 2001 - January 1, 2010
UBS INTERNATIONAL INC.
October 31, 2000 - September 17, 2001
UBS SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/13/2019
General Securities Representative ExaminationCurrent Firm
VONTOBEL SECURITIES LTD.
CRD#: 21368 / SEC#: , 8-38977
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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