Paul J. Grod
Professional summary
Paul Joseph Grod, who also goes by Paul Grod, is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Pearl River, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2007. Paul has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Joseph Grod's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2022 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 1 Blue Hill Plaza, Lobby Level , #1509, Pearl River, NY 10965February 9, 2010 - June 13, 2022
KEY INVESTMENT SERVICES LLC
October 26, 2007 - June 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/1/2022)
(6/1/2022)
Exams
FINRA
Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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