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Robert Thomas Grippando

ASL Capital Markets Inc.

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About Robert Thomas Grippando

Robert Grippando is a financial professional with over 20 years of experience in the industry. Robert has held positions at UBS Securities LLC, UBS Financial Services Inc., Schwab Capital Markets L.P. and Charles Schwab & Co., Inc.. Robert is currently registered with ASL Capital Markets Inc. and holds licenses for Series 7, 24, 55, 63, 99TO, and SIE exams. Robert has been a registered representative in 50 states and has a strong track record of providing financial advice to clients.

Firm Information

Robert Grippando is currently registered with ASL Capital Markets Inc.. ASL Capital Markets Inc. is a corporation that was formed on September 20, 2016. The firm is registered with the Securities and Exchange Commission (SEC) and all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

33

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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Robert Grippando’s Registration & Firm History

CT

08/23/2017 - Present

ASL Capital Markets Inc. (STAMFORD CT)

CT

07/02/2004 - 08/15/2017

UBS SECURITIES LLC (STAMFORD CT)

NJ

01/31/2003 - 07/02/2004

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

CT

11/09/2000 - 12/31/2002

SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)

TX

10/06/2000 - 02/01/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BC

Issued 10/26/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/16/2014

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/16/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/05/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Robert Thomas Grippando.
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