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Detailed Report
BRIAN ANTHONY GROGAN
CRD#: 4395120
IA
Investment Adviser
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Previous Broker
NEWEDGE ADVISORSCRD#: 171351 5674 MARQUESAS CIRCLE
SARASOTA, FL 34233
Registration History
2002200420062008201020122014201620182020202220242026IANEWEDGE ADVISORS (CRD# 171351)2021 - Present (3 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2002 - 2017 (15 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2002 - 2006 (4 years)IAMID ATLANTIC FINANCIAL MANAGEM... (CRD# 109771)2017 - 2021 (4 years)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2003 - 2017 (14 years)
Disclosure(s)
View By:
10/15/2018
Customer Dispute
Denied
License(s)

State Registrations

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Florida 11/1/2021
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New Hampshire 11/1/2021
Current Registration(s)
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NEWEDGE ADVISORS (CRD#:171351)
5674 MARQUESAS CIRCLE, SARASOTA, FL 34233
Registered with this firm since 11/1/2021
Previous Registration(s)
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 10/13/2017 - 11/01/2021 MID ATLANTIC FINANCIAL MANAGEMENT, INC. (CRD#:109771) SARASOTA, FL
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 04/25/2003 - 10/16/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SARASOTA, FL
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 01/25/2002 - 10/16/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SARASOTA, FL
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 01/25/2002 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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
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.