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Peter K Grom

UBS Securities LLC

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About Peter K Grom

Peter Grom has been a registered representative for over 13 years. He has been with UBS Securities LLC since January 2021. Peter specializes in providing investment advice and strategies to individuals and families. He is registered to sell securities in all 50 states and the District of Columbia. Peter is a Series 7, Series 86, Series 87, and SIE licensed representative and holds a Series 63 license. Peter has a strong background in financial markets and has a proven track record of success in helping clients achieve their financial goals.

Firm Information

Peter Grom is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Peter Grom’s Registration & Firm History

NY

01/15/2021 - Present

UBS Securities LLC (NEW YORK NY)

NY

08/17/2009 - 01/29/2021

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/18/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/26/2009

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 08/24/2009

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/15/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Peter K Grom.
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