Dara Grossman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dara Grossman, who also goes by Dara Schwartz, was a registered financial professional .
Dara is a previously registered financial professional and started their career in finance in 2007. Dara had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2014 - May 21, 2015
CIRCLEUP
September 19, 2013 - May 2, 2014
UBS FINANCIAL SERVICES INC.
September 19, 2013 - May 2, 2014
UBS FINANCIAL SERVICES INC.
March 7, 2008 - October 16, 2013
J.P. MORGAN SECURITIES LLC
November 28, 2007 - October 16, 2013
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CIRCLEUP
CRD#: 161785 / SEC#: , 8-69052
Contact information
Documents
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.
