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Detailed Report
ROBERTO ANDRES GROAG
ROBERT ANDRES GROAG
CRD#: 5045536
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 35 NORTH LAKE AVENUE
SUITE 800
PASADENA, CA 91101
Registration History
2002200420062008201020122014201620182020202220242026IAADVICE AND PLANNING SERVICES (CRD# 20472)2015 - Present (9 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2007 - Present (18 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2005 - 2007 (1 year)
Disclosure(s)
View By:
1/13/2001
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 7/22/2022
B
Montana 4/25/2019
B
California 3/2/2007
B
Nevada 6/26/2023
IA
California 7/7/2015
B
New Jersey 1/17/2023
B
Colorado 1/28/2021
B
New Mexico 7/8/2020
B
Idaho 10/16/2020
B
New York 8/9/2019
B
Massachusetts 2/13/2020
B
Texas 9/24/2024
B
Michigan 11/29/2018
B
Wyoming 7/15/2024

SRO Registrations

B
 FINRA

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
ADVICE AND PLANNING SERVICES (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Whittier, CA
Registered with this firm since 7/7/2015
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Whittier, CA
Registered with this firm since 3/2/2007
Previous Registration(s)
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B
 11/21/2005 - 02/12/2007 NATIONAL PLANNING CORPORATION (CRD#:29604) WEST COVINA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.