Anthony J. Grosso
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.
Anthony Joseph Grosso was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1981. Anthony had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2019 - March 23, 2020
ROCKEFELLER FINANCIAL LLC
February 1, 2019 - March 23, 2020
ROCKEFELLER FINANCIAL LLC
August 13, 2002 - January 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 2002 - January 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 1999 - August 15, 2002
ROBERTSON STEPHENS, INC.
April 22, 1999 - August 15, 2002
ROBERTSON STEPHENS, INC.
February 19, 1986 - April 15, 1999
PERSHING LLC
July 20, 1981 - December 27, 1985
DEUTSCHE BANK SECURITIES INC.
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
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 8
Date: 6/29/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
