Brian C Grooms

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-16
TX	RA	APPROVED_RES	2020-04-15

NY RA
APPROVED

Since 2021-06-16
TX RA
APPROVED_RES

Since 2020-04-15

Branch Locations

250 South Clinton Street Suite 500, Syracuse, NY 13202 • United States

Jamesville, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Mrogan Stanley Smith Barney	Albany	NY	07/2011	Present

07/2011 → Present

Mrogan Stanley Smith Barney

Albany, NY

Previous Registrations

2007-07-23 → 2011-07-11

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pittsford, NY

Jamestown, NY

Buffalo, NY
2005-10-07 → 2007-07-09

Securities America Advisors, Inc.

Lakewood, CO
2005-02-07 → 2005-10-04

Wells Fargo Advisors Financial Network, Llc

Richmond, VA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-02-04
S65	Uniform Investment Adviser Law Examination	2001-10-15
S63	Uniform Securities Agent State Law Examination	1995-09-08

S66 Uniform Combined State Law Examination

2005-02-04
S65 Uniform Investment Adviser Law Examination

2001-10-15
S63 Uniform Securities Agent State Law Examination

1995-09-08

Other Names

Brian C Grooms
Brian Charles Grooms

View on SEC IAPD

Other Firms

RBC CAPITAL MARKETS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EAGLE STRATEGIES LLC

COMMONWEALTH FINANCIAL NETWORK

CHARLES SCHWAB & CO., INC.

STRATEGIC FINANCIAL SERVICES

R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS

JANNEY MONTGOMERY SCOTT LLC

Other Investors

Eric Petranchuk

CAROL ANNE DOYLE

Lea Brigitte DiGiovanni

FRANK PRIOR ARKINSON

THEODORE FRANK BINDER

MARCIA T. IRVIN

Other Offices

RBC CAPITAL MARKETS, LLC · SYRACUSE, NY

AMERIPRISE FINANCIAL SERVICES, LLC · SYRACUSE, NY

EAGLE STRATEGIES LLC · DEWITT, NY

EAGLE STRATEGIES LLC · DEWITT, NY

COMMONWEALTH FINANCIAL NETWORK · DeWitt, NY

CHARLES SCHWAB & CO., INC. · Dewitt, NY

STRATEGIC FINANCIAL SERVICES · Syracuse, NY

EAGLE STRATEGIES LLC · DEWITT, NY

More in Syracuse, NY

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