Robert T. Grippando
Professional summary
Robert Thomas Grippando is a registered financial professional currently at ASL CAPITAL MARKETS INC. located in Stamford, Connecticut.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Thomas Grippando's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2017 - Present
ASL CAPITAL MARKETS INC.
Office #1: 600 Summer Street Suite 402, Stamford, CT 06901July 2, 2004 - August 15, 2017
UBS SECURITIES LLC
January 31, 2003 - July 2, 2004
UBS FINANCIAL SERVICES INC.
November 9, 2000 - December 31, 2002
UBS CAPITAL MARKETS L.P.
October 6, 2000 - February 1, 2001
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/9/2018)
(2/1/2018)
(11/17/2017)
(4/26/2018)
(9/20/2017)
(1/23/2018)
(8/23/2017)
(11/6/2017)
(9/13/2017)
(4/12/2018)
(10/18/2017)
(10/19/2017)
(10/5/2017)
(9/20/2017)
(1/11/2018)
(3/19/2018)
(1/16/2018)
(1/16/2018)
(5/22/2018)
(9/14/2017)
(11/20/2017)
(2/1/2018)
(9/28/2017)
(1/22/2018)
(11/28/2017)
(2/1/2018)
(2/23/2018)
(10/9/2017)
(2/27/2018)
(12/12/2017)
(4/13/2018)
(8/29/2017)
(9/1/2017)
(2/9/2018)
(9/13/2017)
(1/23/2018)
(2/14/2018)
(8/23/2017)
(1/17/2018)
(2/1/2018)
(1/11/2018)
(11/27/2017)
(2/6/2018)
(1/11/2018)
(2/21/2018)
(9/13/2017)
(9/6/2017)
(5/3/2018)
(9/22/2017)
(3/9/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/16/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
ASL CAPITAL MARKETS INC.
CRD#: 286115 / SEC#: , 8-69872
Contact information
FINRA licenses (50 States and Territories)
Documents
Red Flags
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