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RICHARD P GROFSICK
RICHARD GROFSICK, Richard P Grofsick
CRD#: 6669214
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 1000 WYCKOFF AVE
3RD FLOOR SUITE 313
MAHWAH, NJ 07430
3RD FLOOR SUITE 313
MAHWAH, NJ 07430
0
Disclosures
8
Years of Experience
View By:
State Registrations
B
Arizona 9/9/2020
IA
North Carolina 2/14/2020
IA
Arizona 9/14/2020
B
Pennsylvania 1/11/2019
B
Connecticut 8/12/2021
IA
Pennsylvania 1/14/2019
IA
Connecticut 8/16/2021
B
Rhode Island 3/27/2019
B
Florida 10/15/2020
IA
Rhode Island 4/4/2019
IA
Florida 10/16/2020
B
South Carolina 8/3/2020
B
Massachusetts 11/23/2022
IA
South Carolina 8/4/2020
IA
Massachusetts 12/8/2022
B
Texas 1/24/2022
B
New Jersey 6/6/2017
IA
Texas 1/24/2022
IA
New Jersey 6/6/2017
B
Virginia 10/4/2023
B
New York 6/20/2017
IA
Virginia 10/4/2023
IA
New York 8/16/2021
B
Wisconsin 7/16/2020
B
North Carolina 2/13/2020
IA
Wisconsin 7/17/2020
SRO Registrations
B
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IA
Registered with this firm since 6/6/2017
B
Registered with this firm since 6/6/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/28/2016 - 11/17/2016 | JERSEY CITY, NJ | |
B | 08/08/2016 - 11/17/2016 | JERSEY CITY, NJ |
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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.