Connor R. Grogan
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.
Connor Ryan Grogan, who also goes by Connor Grogan, was a registered financial professional .
Connor is a previously registered financial professional and started their career in finance in 2010. Connor had worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2024 - December 3, 2024
HOLLISTER ASSOCIATES, LLC
November 3, 2023 - December 7, 2023
HOLLISTER ASSOCIATES, LLC
August 31, 2022 - June 23, 2023
HOLLISTER ASSOCIATES, LLC
June 4, 2018 - September 1, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
January 5, 2013 - August 19, 2016
STOUT CAPITAL, LLC
November 29, 2010 - January 31, 2011
AEGIS CAPITAL CORP.
State Registrations and Notice Filings
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Exams
Current Firm
HOLLISTER ASSOCIATES, LLC
CRD#: 173366 / SEC#: , 8-69538
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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