Richard Grobman

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1992 → 04/2017
  Fahnestock & Co., Inc.
  Philadelphia, PA
• 04/2017 → Present
  Raymond James & Associates
  Philadelphia, PA

Previous Registrations

• 2005-07-28 → 2017-05-05
  Oppenheimer & Co. Inc.
  Philadelphia, PA

Other Businesses

(1) 2004 R Alper Family Trst fbo Jane Fuller Bryn Mawr, PA, 19010, US AT: : Trstee (Acting) IR: Yes SD: 12/15/2004 Hrs: 0-1 TH: 0-1 DOD: I am a co Trstee of this famil Trst which is fbo my sister in law, Jane Fuller. This Trst is the ultimate owner of my sister in law Jane Fuller's 50% interest in our family's real estate holdings. (2) A Alper 2014 Trst fbo Patricia Grobman Bryn Mawr, PA, 19010, US AT: : Trstee (Acting) IR: Yes SD: 09/30/2014 Hrs: 0-1 TH: 0-1 DOD: I am a co Trstee for this Trst which is for the benefit of my wife, Patricia Grobman which was established by my mother in law, Alene Alper which is a personal residence Trst. (3) Alene Alper 2014 Trst fbo Jane Fuller Bryn Mawr, PA, 19010, US AT: : Other (Acting) IR: Yes SD: 10/29/2018 Hrs: 0-1 TH: 0-1 DOD: Trstee/Successor Trstee. I am a co-Trstee with my wife, sister in-law and another family friend for this Trst created by my mother in-law that holds her personal residences for estate planning purposes. (4) Alper Family 2004 Trst fbo Patricia Grobman Bryn Mawr, PA, 19010, US AT: : Trstee (Acting) IR: Yes SD: 12/15/2004 Hrs: 0-1 TH: 0-1 DOD: I am a co Trstee for the 2004 Alper Family Trst fbo Patricia Grobman. This Trst owns half of our family's real estate holdings. (5) Applewood Limited Partnership Bryn Mawr, PA, 19010, US AT: : Other (Acting) IR: Yes SD: 08/04/2014 Hrs: 0-1 TH: 0-1 DOD: I am the Secretary/Treasurer of our family's partnership, Applewood Ltd Partnership which is the holding vehicle for our family's real estate holdings. family LP. (6) Benjamin Grobman - Trst Bryn Mawr, PA, 19010, US AT: : Trstee (Acting) IR: Yes SD: 05/19/2019 Hrs: 0-1 TH: 0-1 DOD: I am a co-Trstee of my son, Benjamin's Trst. (7) Daniel Grobman - Trst Bryn Mawr, PA, 19010, US AT: : Trstee (Acting) IR: Yes SD: 07/02/2019 Hrs: 0-1 TH: 0-1 DOD: Co Trstee of my son Daniel's Trst. (8) Har Zion Temple Penn Valley, PA, 19072, US AT: Non profit Position/Title: Committee Member IR: Yes SD: 01/01/2010 Hrs: 0-1 TH: 0-1 DOD: I am the chair of the investment committee for the synagogue. (9) Jessica Oliphant - Trst Bryn Mawr, PA, 19010, US AT: : Other (Acting) IR: Yes SD: 09/28/2015 Hrs: 0-1 TH: 0-1 DOD: Trstee/Successor Trstee. Co-Trstee. (10) Jewish Family and Children's Services Philadelphia, PA, 19103, US AT: Non profit Position/Title: Board Member IR: Yes SD: 01/03/2011 Hrs: 0-1 TH: 0-1 DOD: I am a member of the endowment's investment committee. We review the investment advisor to the endowment quarterly. (11) Joshua Fuller - Trst Bryn Mawr, PA, 19010, US AT: : Trstee (Acting) IR: Yes SD: 04/28/2018 Hrs: 0-1 TH: 0-1 DOD: I am a Co-Trstee of my nephew Joshua Fuller's Trst. (12) Mid America East, Inc. Bryn Mawr, PA, 19010, US AT: : Other (Acting) IR: Yes SD: 08/03/2014 Hrs: 0-1 TH: 0-1 DOD: Officer of the Mid American East Co. I am the Secretary of the corporation. (13) R Alper 2003 Non-QTIP Trst Bryn Mawr, PA, 19010, US AT: : Trstee (Acting) IR: Yes SD: 08/10/2014 Hrs: 0-1 TH: 0-1 DOD: I am a co-Trstee of my father in law's Non QTIP Trst under his will. (14) R Alper 2003 QTIP Trst Jupiter, FL, 33477, US AT: : Other (Acting) IR: Yes SD: 08/04/2014 Hrs: 0-1 TH: 0-1 DOD: Trstee/Successor Trstee. Co-Trstee. (15) R Alper 2003 Trst fbo Jane Fuller Bryn Mawr, PA, 19010, US AT: : Trstee (Acting) IR: Yes SD: 08/10/2014 Hrs: 0-1 TH: 0-1 DOD: I am a co Trstee under this Trst which was created under my father in law Robert Alper's will. This Trst id fbo my sister in law, Jane Fuller. (16) R Alper 2003 Trst fbo Patricia Grobman Bryn Mawr, PA, 19010, US AT: : Trstee (Acting) IR: Yes SD: 08/10/2014 Hrs: 0-1 TH: 0-1 DOD: I am co Trstee for the Robert Alper 2003 Trst fbo my wife Patricia Grobman. This Trst was created under my father in law's will. (17) Rachael Grobman - Trst Bryn Mawr, PA, 19010, US AT: : Other (Acting) IR: Yes SD: 06/19/2019 Hrs: 0-1 TH: 0-1 DOD: Co-Trstee of my daughter Rachael's Trst

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-10-07
• S63 Uniform Securities Agent State Law Examination
  1985-09-26