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DAVID CHRISTOPHER GROSEK
DAVID C GROSEK
CRD#: 2964788
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE POST OFFICE SQUARE
BOSTON, MA 02109
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - Present (18 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2007 (9 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2001 - 2007 (5 years)
License(s)

State Registrations

B
Alabama 2/16/2007

B
New York 2/16/2007

B
California 2/16/2007

B
North Carolina 4/20/2022

B
Colorado 2/16/2007

B
Oregon 6/24/2009

B
Connecticut 2/16/2007

B
Pennsylvania 2/16/2007

B
Delaware 5/13/2013

B
Rhode Island 2/16/2007

B
Florida 2/16/2007

B
Tennessee 2/22/2019

B
Georgia 2/17/2021

IA
Texas 2/16/2007

B
Illinois 4/20/2022

B
Texas 6/8/2018

B
Maine 11/17/2016

B
Utah 4/20/2022

B
Maryland 2/5/2020

B
Vermont 5/12/2022

B
Massachusetts 2/16/2007

B
Virginia 4/20/2022

B
New Hampshire 12/5/2017

B
Washington 4/16/2009

B
New Mexico 5/23/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE POST OFFICE SQUARE, BOSTON, MA 02109
Registered with this firm since 2/16/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE POST OFFICE SQUARE, BOSTON, MA 02109
Registered with this firm since 2/16/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/20/2001 - 02/20/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) BOSTON, MA
B
12/10/1997 - 02/20/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOSTON, MA
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B
Broker
IA
Investment Adviser
Disclosures
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.