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RICHARD DELMAR GROSS
RICK GROSS
CRD#: 2725510
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 420 EAST SOUTH TEMPLE
SUITE 430
SALT LAKE CITY, UT 84111
SUITE 430
SALT LAKE CITY, UT 84111
0
Disclosures
16
Years of Experience
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State Registrations
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Nevada 6/21/2019
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Utah 9/11/2013
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Nevada 7/1/2019
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Utah 11/13/2013
SRO Registrations
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Registered with this firm since 11/13/2013
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Registered with this firm since 9/11/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/21/2009 - 09/12/2013 | SANDY, UT | |
B | 06/27/1996 - 01/22/1997 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.