Joshua R. Gronholz
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.
Joshua Richard Gronholz was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2015. Joshua had worked at 3 firms and has passed the Series 66, SIE, Series 7 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
February 17, 2020 - November 11, 2021
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC
July 7, 2016 - December 6, 2021
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
February 2, 2015 - July 23, 2016
INVESTORS CAPITAL CORP.
Primary Firm SEC Registration
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC
CRD#: 140551 / SEC#: 801-69464
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
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC
CRD#: 140551 / SEC#: 801-69464
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,424 |
| AUM (Assets Under Management) | $ 402,826,658 |
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.
