Christopher Thomas Grubb
Professional Summary
Christopher Thomas Grubb, who also goes by Chris Thomas Grubb, is a registered financial advisor currently at DUCERA SECURITIES LLC located in San Francisco, California. Christopher is registered as a RR (Registered Representative) and started their career in finance in 2005. Christopher has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Christopher Thomas Grubb, Chris Thomas Grubb
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
DUCERA SECURITIES LLC
Contact Information
Main Address
11 Times Square, Floor 36, New York, NY 10036Mailing Address
11 Times Square, Floor 36, New York, NY 10036Phone Number
(212) 671-9771Established
Delaware since 05/18/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/11/2023)
(9/11/2023)
(9/11/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Christopher Thomas Grubb's CRS (Customer Relationship Summary).
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