Keith A. Grogg
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.
Keith Andrew Grogg, who also goes by Keith Grogg, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2012. Keith had worked at 4 firms and has passed the Series 66, SIE 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
October 20, 2015 - July 24, 2017
MICROVENTURE MARKETPLACE INC.
April 16, 2015 - October 5, 2015
OTR GLOBAL LLC
April 16, 2015 - October 5, 2015
OTR GLOBAL TRADING LLC
January 24, 2013 - May 2, 2014
EDWARD JONES
December 21, 2012 - May 2, 2014
EDWARD JONES
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
Current Firm
MICROVENTURE MARKETPLACE INC.
CRD#: 152513 / SEC#: , 8-68458
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 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.
