Ross R. Givens
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.
Ross Richard Givens was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 2008. Ross had worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 3 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
September 24, 2024 - October 7, 2025
G CAPITAL ASSET MANAGEMENT
July 31, 2014 - May 12, 2015
J.P. MORGAN SECURITIES LLC
July 22, 2014 - May 12, 2015
J.P. MORGAN SECURITIES LLC
February 14, 2013 - May 21, 2013
REGAL ADVISORY SERVICES, INC.
August 17, 2012 - May 21, 2013
REGAL SECURITIES, INC.
November 15, 2010 - October 17, 2011
GAR WOOD SECURITIES, LLC
July 17, 2008 - November 12, 2008
FSC SECURITIES CORPORATION
July 17, 2008 - November 12, 2008
FSC SECURITIES CORPORATION
May 28, 2008 - July 17, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
April 16, 2008 - July 17, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
G CAPITAL ASSET MANAGEMENT
CRD#: 332326 / SEC#:
Contact information
Red Flags
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