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GG

George F. Grose

DAIWA CAPITAL MARKETS AMERICA
New York, NY 10020
Some features on this profile are disabled
CRD#: 4496572
GG

Professional summary

George Francis Grose is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.

George is registered as a RR (Registered Representative) and started their career in finance in 2002. George has worked at 4 firms and has passed the Series 63, Series 16, Series 87, Series 7 and Series 24 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 George Francis Grose'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

March 27, 2013 - Present

DAIWA CAPITAL MARKETS AMERICA INC.

Office #1: 1251 Avenue Of The Americas, New York, NY 10020
BD
CRD#: 1576
New York, NY
Past

October 6, 2006 - April 26, 2010

AMERICAN CAPITAL PARTNERS, LLC

BD
CRD#: 119249
HAUPPAUGE, NY
Past

October 24, 2005 - October 5, 2006

JOSEPH GUNNAR & CO. LLC

RIA
CRD#: 24795
NEW YORK, NY
Past

March 14, 2005 - October 5, 2006

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

March 27, 2002 - March 3, 2005

HD BROUS & CO., INC.

BD
CRD#: 22062
GREAT NECK, NY

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: 4/19/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 16
Date: 7/9/2007
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 87
Date: 6/30/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 3/26/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/19/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DC
DAIWA CAPITAL MARKETS AMERICA INC.
DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.

CRD#: 1576 / SEC#: , 8-12242

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

Main Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Phone number
(212) 612-7000
Established
New York since 12/08/1964
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC.SHAREHOLDER
GREFE, JOHN HERBERT IIIEXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER3275699
MACHIDA, KEIJIPRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR)7273228
PARRY, GEORGE LCFO / TREASURER3221390
SAMBONGI, TOHRUMANAGING DIRECTOR / CO-HEAD OF FIXED INCOME7302894
UEJIMA, EIJIMANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION8039040
YAMAUCHI, MASAHIRODEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS7920876

Disclosures

Regulatory Event30

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

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576New York, NY 10020

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