Richard GrossCRD Number: 6308912
Current Firm: Td Ameritrade, Inc.
Richard Gross (CRD# 6308912) is an Investment Advisor Representative working at Td Ameritrade, Inc. in Draper, UT and has over 3 years of experience in the finance industry.
Uma Financial Services Inc.
|Td Ameritrade, Inc.||Draper, UT||Mar 2014 - Current||3|
|Investools From Td Ameritrade Holding Corp||Draper, UT||Nov 2011 - Mar 2014||2|
|Unemployed||Salt Lake City, UT||Jun 2011 - Nov 2011||< 1|
|Masterbrands||Salt Lake City, UT||Feb 2010 - Jun 2011||1|
|Sprint/nextel||Sacramento, CA||Jul 2007 - Feb 2010||2|
|Sacramento State University||Sacramento, CA||Aug 2006 - May 2009||2|
|Lazy Acres||Santa Barbara, CA||May 2005 - Dec 2006||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Mar 2014|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV