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RG

Rita L. Grasso

ETC BROKERAGE SERVICES
Dallas, TX 75240
Some features on this profile are disabled
CRD#: 4445836
RG

Professional summary

Rita Louise Grasso, who also goes by Rita Louise Swirsky, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Dallas, Texas.

Rita is registered as a RR (Registered Representative) and started their career in finance in 2007. Rita has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rita Louise Swirsky

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 Rita Louise Grasso's CRS (Customer Relationship Summary).
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

January 4, 2012 - Present

ETC BROKERAGE SERVICES, LLC

Office #1: Three Lincoln Centre 5430 Lbj Freeway, Suite 320, Dallas, TX 75240
BD
CRD#: 145276
Dallas, TX
Past

October 26, 2007 - July 17, 2013

MID-OHIO SECURITIES CORP

BD
CRD#: 6634
ELYRIA, OH

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/19/2014)
RR
Alaska
(5/21/2013)
RR
Arizona
(6/6/2013)
RR
Arkansas
(5/21/2013)
RR
California
(5/20/2013)
RR
Colorado
(5/21/2013)
RR
Connecticut
(5/20/2013)
RR
Delaware
(5/21/2013)
RR
District of Columbia
(5/24/2013)
RR
Florida
(5/23/2013)
RR
Georgia
(5/20/2013)
RR
Hawaii
(5/20/2013)
RR
Idaho
(5/20/2013)
RR
Illinois
(5/20/2013)
RR
Indiana
(5/30/2013)
RR
Iowa
(5/21/2013)
RR
Kansas
(5/21/2013)
RR
Kentucky
(5/21/2013)
RR
Louisiana
(5/20/2013)
RR
Maine
(5/20/2013)
RR
Maryland
(5/22/2013)
RR
Massachusetts
(5/29/2013)
RR
Michigan
(5/21/2013)
RR
Minnesota
(5/21/2013)
RR
Mississippi
(5/23/2013)
RR
Missouri
(5/20/2013)
RR
Montana
(5/20/2013)
RR
Nebraska
(5/20/2013)
RR
Nevada
(8/27/2013)
RR
New Hampshire
(5/20/2013)
RR
New Jersey
(5/22/2013)
RR
New Mexico
(5/22/2013)
RR
New York
(5/21/2013)
RR
North Carolina
(5/28/2013)
RR
North Dakota
(5/21/2013)
RR
Ohio
(5/20/2013)
RR
Oklahoma
(5/21/2013)
RR
Oregon
(6/10/2013)
RR
Pennsylvania
(5/20/2013)
RR
Rhode Island
(5/20/2013)
RR
South Carolina
(5/20/2013)
RR
South Dakota
(5/20/2013)
RR
Tennessee
(4/25/2023)
RR
Texas
(6/3/2013)
RR
Utah
(5/20/2013)
RR
Vermont
(5/23/2013)
RR
Virginia
(5/20/2013)
RR
Washington
(5/21/2013)
RR
West Virginia
(6/6/2013)
RR
Wisconsin
(5/20/2013)
RR
Wyoming
(5/20/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 12/13/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/15/2008
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EB
ETC BROKERAGE SERVICES, LLC
COLLECTIVE FINANCIAL SERVICES, LLC | ETC BROKERAGE SERVICES, LLC

CRD#: 145276 / SEC#: , 8-67719

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

Main Address
5430 Lbj Freeway Suite 320, Dallas, TX 75240
Mailing Address
1 Equity Way, Westlake, OH 44145
Phone number
(877) 403-0369
Established
Connecticut since 05/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DESICH, JEFFREY ALANVICE PRESIDENT2771522
DESICH, RICHARD ANTHONY JRVICE PRESIDENT2634014
AMACHER, CATHERINE COMBSCEO3168184
KOSINSKI, THOMAS JAMESFINOP6712417
MOORE, JONATHAN KIELPRESIDENT, COO2312492
STRICKLAND, JASON LEECHIEF COMPLIANCE OFFICER5013990
TRUKSHANIN, MIKHAILCFO, PFO7436256

Disclosures

Regulatory Event1

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

ETC BROKERAGE SERVICES, LLC

CRD#: 145276Dallas, TX 75240

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