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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Grossman is a financial advisor who has been in the industry since 1983. He is currently registered with Wells Fargo Advisors Financial Network, LLC and previously worked for Wells Fargo Clearing Services, LLC, Prudential Securities Incorporated, Thomson McKinnon Securities Inc., and Smith Barney, Harris Upham & Co., Incorporated. Keith Grossman has a broad range of experience in the financial services industry, including experience with investments, financial planning, pension consulting, and portfolio management. Keith Grossman is registered in 27 states for broker-dealer activities and 2 states for investment advisor activities. He has held a variety of licenses and designations throughout his career, including Series 7, Series 3, Series 63, Series 65, and Series 8.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IN
01/24/2020 - Present
Wells Fargo Advisors Financial Network, LLC (EVANSVILLE IN)
IN
07/01/2003 - 01/24/2020
WELLS FARGO CLEARING SERVICES, LLC (EVANSVILLE IN)
NY
09/15/1989 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/22/1989 - 09/15/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NY
01/06/1983 - 06/09/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
IA
Issued 11/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/27/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/1983
Series 3 - National Commodity Futures Examination
BC
Issued 11/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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