Grant T. Dragan
Professional summary
Grant Thomas Dragan is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.
Grant is registered as a RR (Registered Representative) and started their career in finance in 2011. Grant has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Grant Thomas Dragan's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2020 - Present
ROTHSCHILD & CO US INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020July 13, 2015 - May 15, 2020
LAZARD FRERES & CO. LLC
September 7, 2011 - July 9, 2015
BMO CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/5/2020)
Exams
FINRA
Current Firm
ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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