Paul M. Grumann
Professional summary
Paul M Grumann, who also goes by Paul Michael Grumann, is a registered financial professional currently at RCX CAPITAL GROUP, LLC located in Golden, Colorado.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2001. Paul has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul M Grumann's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 3, 2018 - Present
RCX CAPITAL GROUP, LLC
April 20, 2010 - February 23, 2018
NORTHSTAR SECURITIES, LLC
April 5, 2010 - May 25, 2010
WELTON STREET INVESTMENTS LLC
October 15, 2004 - February 9, 2010
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
July 7, 2004 - October 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2001 - October 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/18/2020)
(12/18/2020)
(5/3/2018)
(11/21/2023)
(11/21/2023)
(12/18/2020)
(10/13/2021)
(11/10/2021)
(11/21/2023)
(8/11/2021)
(12/18/2020)
(11/21/2023)
(11/21/2023)
(10/13/2021)
(12/18/2020)
(11/21/2023)
(9/2/2021)
(11/21/2023)
(11/21/2023)
(10/29/2018)
(5/17/2022)
(1/26/2024)
Exams
FINRA
Current Firm
RCX CAPITAL GROUP, LLC
CRD#: 114290 / SEC#: , 8-53416
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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