Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Groom is a financial advisor at J.P. Morgan Securities LLC in Roslyn Heights, NY. Rick has been in the industry since February 1996. Rick is also registered as an investment advisor representative. Rick has a Series 6, 7, 24, 26, 63, and 66 licenses and is registered in Connecticut, Florida, New Jersey, New York, North Carolina, South Carolina, Tennessee, and Virginia. Rick has previously worked at Morningstar Investment Services LLC, Assetmark Brokerage, LLC, Capital Brokerage Corporation, Janus Distributors LLC, Dreyfus Service Corporation, J.P. Morgan Fund Distributors, Inc., and Van Eck Securities Corporation. Rick specializes in portfolio management for businesses, individuals, and investment companies.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
12/13/2022 - Present
J.p. Morgan Securities LLC (ROSLYN HEIGHTS NY)
IL
01/02/2020 - 11/11/2022
MORNINGSTAR INVESTMENT SERVICES LLC (CHICAGO IL)
CA
08/15/2014 - 12/10/2018
ASSETMARK BROKERAGE, LLC (CONCORD CA)
VA
03/21/2014 - 08/15/2014
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
CO
03/08/2007 - 02/28/2014
JANUS DISTRIBUTORS LLC (DENVER CO)
NY
06/01/2001 - 02/19/2004
DREYFUS SERVICE CORPORATION (NEW YORK NY)
MA
05/08/1996 - 05/29/2001
J.P. MORGAN FUND DISTRIBUTORS, INC. (BOSTON MA)
NY
11/21/1991 - 04/09/1996
VAN ECK SECURITIES CORPORATION (NEW YORK NY)
BOTH
Issued 12/08/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/02/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/11/2002
Series 24 - General Securities Principal Examination
BC
Issued 02/18/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/20/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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
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