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Detailed Report
Christopher M Groman
CHRIS GROMAN, CHRISTOPHER MICHAEL GROMAN, H CHRISTOPHER M GROMAN, H Christopher Michael Groman, HChristopher Michael Groman
CRD#: 6106846
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
201620172018201920202021202220232024202520262 FIRMS2017 - 2017 (<1 year)2 FIRMS2024 - 2025 (<1 year)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2023 - 2024 (<1 year)IACWM, LLC (CRD# 155344)2021 - 2022 (<1 year)IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2020 - 2021 (<1 year)IAPNC INVESTMENTS (CRD# 129052)2019 - 2020 (<1 year)IAEDWARD JONES (CRD# 250)2016 - 2017 (<1 year)
Disclosure(s)
View By:
12/19/2019
Financial
Final
Previous Registration(s)
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 03/20/2024 - 01/29/2025 AE WEALTH MANAGEMENT, LLC (CRD#:282580) Winter Garden, FL
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 12/26/2024 - 01/28/2025 THE LIFE WEALTH GROUP (CRD#:332978) WINTER GARDEN, FL
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 09/06/2023 - 02/20/2024 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) Orlando, FL
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 06/29/2021 - 03/14/2022 CWM, LLC (CRD#:155344) Orlando, FL
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 06/30/2020 - 04/26/2021 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) ORLANDO, FL
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 07/11/2019 - 06/12/2020 PNC INVESTMENTS (CRD#:129052) CLEVELAND, OH
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 10/06/2017 - 12/06/2017 CADWELL WEALTH ASSET MANAGEMENT, LLC (CRD#:284040) CELEBRATION, FL
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 04/07/2017 - 09/11/2017 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) Orlando, FL
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 10/26/2016 - 01/17/2017 EDWARD JONES (CRD#:250) Orlando, FL
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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.