Supreet K. Grewal
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.
Supreet Kaur Grewal, who also goes by Supreet Grewal, was a registered financial professional .
Supreet is a previously registered financial professional and started their career in finance in 2023. Supreet had worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2023 - March 24, 2023
NUVEEN SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/20/2023
General Securities Representative ExaminationCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| 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.
