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Jonathan Scott Gruber

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Information

Other Names: Jon Gruber
Firm:
Additional Firm:
Type: SEC and FINRA Registered
Description

Jonathan Gruber is a financial professional at Mid Atlantic Capital Corporation, a broker-dealer with 198 registered representatives nationwide. Jonathan is also registered with Hooker & Holcombe Investment Advisors, Inc., a $363M RIA based in West Hartford, CT. Jonathan has held an industry securities registration for 14 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Mid Atlantic Capital Corporation 2 years, 3 months Jan 2013 - Present
HHIA 2 years, 4 months Dec 2012 - Present
Wells Fargo Advisors LLC 8 months Apr 2012 - Dec 2012
Financial Services Advisory, Inc. 1 year, 7 months Sep 2010 - Apr 2012
Arbonne International 1 year, 10 months Nov 2006 - Sep 2008
Charles Schwab Bank N.A. 5 years, 7 months Feb 2005 - Sep 2010
Charles Schwab & Co.,Inc. 11 years, 7 months Feb 1999 - Sep 2010
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 08/03/2001
Uniform Securities Agent State Law ExaminationSeries 63 06/12/2000
General Securities Representative ExaminationSeries 7 05/18/2000

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Jonathan Scott Gruber has not answered any questions on Financial Q&A.

Top Guides

Jonathan Scott Gruber has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Pension and Profit Sharing Plans
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
10/03/2014
08/27/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees