TH
Thomas Hobson
GRV SECURITIES LLC
NEW YORK, NY 10153
Some features on this profile are disabled
CRD#: 5408777
TH
Professional summary
Thomas Hobson is a registered financial professional currently at GRV SECURITIES LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Hobson'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®
NoneExperience
Current
December 9, 2021 - Present
GRV SECURITIES LLC
Office #1: 767 5th Avenue Floor 11, New York, NY 10153BD
CRD#: 138348
NEW YORK, NY
Past
April 20, 2020 - September 20, 2021
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
RIA
CRD#: 105390
PHILADELPHIA, PA
Past
June 1, 2017 - April 20, 2020
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
RIA
CRD#: 152237
PHILADELPHIA, PA
Past
May 31, 2017 - September 20, 2021
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
May 19, 2014 - March 21, 2017
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
PRINCETON, NJ
Past
January 28, 2014 - March 21, 2017
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
April 14, 2011 - December 2, 2013
NATIONWIDE FUND DISTRIBUTORS LLC
BD
CRD#: 25910
KING OF PRUSSIA, PA
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(12/9/2021)
RR
Alaska(12/9/2021)
RR
Arizona(12/9/2021)
RR
Arkansas(12/9/2021)
RR
California(12/9/2021)
RR
Colorado(12/9/2021)
RR
Connecticut(12/9/2021)
RR
Delaware(12/9/2021)
RR
District of Columbia(12/9/2021)
RR
Florida(12/9/2021)
RR
Georgia(12/9/2021)
RR
Hawaii(12/9/2021)
RR
Idaho(12/9/2021)
RR
Illinois(12/9/2021)
RR
Indiana(12/9/2021)
RR
Iowa(12/9/2021)
RR
Kansas(12/9/2021)
RR
Kentucky(12/9/2021)
RR
Louisiana(12/9/2021)
RR
Maine(12/9/2021)
RR
Maryland(12/9/2021)
RR
Massachusetts(12/9/2021)
RR
Michigan(12/9/2021)
RR
Minnesota(12/9/2021)
RR
Mississippi(12/9/2021)
RR
Missouri(12/9/2021)
RR
Montana(12/9/2021)
RR
Nebraska(12/9/2021)
RR
Nevada(12/9/2021)
RR
New Hampshire(12/9/2021)
RR
New Jersey(12/9/2021)
RR
New Mexico(12/9/2021)
RR
New York(12/9/2021)
RR
North Carolina(12/9/2021)
RR
North Dakota(12/9/2021)
RR
Ohio(12/9/2021)
RR
Oklahoma(12/9/2021)
RR
Oregon(12/9/2021)
RR
Pennsylvania(12/9/2021)
RR
Puerto Rico(12/9/2021)
RR
Rhode Island(12/9/2021)
RR
South Carolina(12/9/2021)
RR
South Dakota(12/9/2021)
RR
Tennessee(12/9/2021)
RR
Texas(12/9/2021)
RR
Utah(12/9/2021)
RR
Vermont(12/9/2021)
RR
Virgin Islands(12/9/2021)
RR
Virginia(12/9/2021)
RR
Washington(12/9/2021)
RR
West Virginia(12/9/2021)
RR
Wisconsin(12/9/2021)
RR
Wyoming(12/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRV SECURITIES LLC
GROSVENOR SECURITIES LLC | GRV SECURITIES LLC
CRD#: 138348 / SEC#: , 8-67160
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Mailing Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Phone number
(312) 506-6500
Established
Delaware since 08/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GCM GROSVENOR L.P. | SOLE MEMBER | 108654 |
| DANIEL, DAWNA LYNNE | CHIEF COMPLIANCE OFFICER | 5137048 |
| HENRICH, DIANNA LEA | MANAGING DIRECTOR | 4695780 |
| MONTGOMERY, BURKE JOHNSON | GENERAL COUNSEL | 5067591 |
| SACKS, MICHAEL JAY | MANAGER/CHIEF EXECUTIVE OFFICER | 2077424 |
| SULLIVAN, KATHLEEN PATRICIA | FINANCIAL AND OPERATIONS PRINCIPAL | 5099521 |
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.
