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Andrew Grossman

41 Years of Experience
Plainview, NY
6 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Andrew Grossman is a registered investment advisor, based in Plainview, NY, with 41 years of industry experience. Andrew is also registered as a broker, so some compensation may come from commissions on products sold.

Location

255 Executive Drive, Suite 203, Plainview, NY, 11803

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2003
Settled
Customer Dispute
October 1998
Settled
Customer Dispute
August 1998
Settled
Customer Dispute
June 1993
Settled
Customer Dispute
March 1993
Settled
Customer Dispute
January 1988
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Andrew is involved with North Shore Wealth Management, LLC as a DBA for financial securities business conducted through B. Riley Wealth Management, dedicating full-time hours to it. He also works as an agent for B. Riley Wealth Insurance, dedicating a few hours per week to insurance sales.

Employment History
Current Registrations
B. Riley Wealth Management
July 2022 - Present · 4 yrs 3 mos
B. Riley Wealth ManagementBroker
July 2022 - Present · 4 yrs 3 mos
B. Riley Wealth Advisors, INC.
March 2017 - Present · 9 yrs 7 mos
Previous Registrations
National Securities CorporationBroker
June 2015 - July 2022 · 7 yrs 1 mo
Jhs Capital Advisors, LLCBroker
March 2010 - June 2015 · 5 yrs 3 mos
Gunnallen Financial, INCBroker
March 2007 - March 2010 · 3 yrs
Andrew Garrett INC.Broker
February 2007 - March 2007 · 1 mo
S.W. Bach & CompanyBroker
November 2005 - March 2007 · 1 yr 4 mos
Kirlin Securities INC.Broker
March 2003 - November 2005 · 2 yrs 8 mos
Goldis Financial Group, INC.Broker
January 1995 - March 2003 · 8 yrs 2 mos
Josephthal Lyon & Ross IncorporatedBroker
June 1989 - December 1994 · 5 yrs 6 mos
Mostel & Taylor Securities, INC.Broker
February 1987 - June 1989 · 2 yrs 4 mos
Diversified Equities CORP.Broker
August 1985 - February 1987 · 1 yr 6 mos
Vanderbilt Securities, INC.Broker
October 1984 - August 1985 · 10 mos
Barron, Marshall & Kamen CO., INC.Broker
October 1984 - November 1984 · 1 mo
State Registrations10 states
CAFLIDNJNVNYORPATXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Andrew Grossman - Financial Advisor | TrueAdvisor