Walter S. 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.
Walter Stephen Grossman was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1970. Walter had worked at 7 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 1979 - December 18, 2003
BROOKEHILL CAPITAL PARTNERS LIMITED
February 16, 1979 - May 1, 1980
FINANCIAL SQUARE PARTNERS
February 24, 1978 - March 22, 1979
MORGAN STANLEY DW INC.
December 19, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
November 22, 1977 - November 19, 1983
LEHMAN BROTHERS INC.
October 7, 1975 - November 22, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
October 21, 1970 - November 8, 1976
LOEB RHOADES & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/14/1967
Registered Representative ExaminationCurrent Firm
BROOKEHILL CAPITAL PARTNERS LIMITED
CRD#: 7966 / SEC#: , 8-23730
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
