ALEXANDER JOEL GRUMMAN

ALEXANDER JOEL GRUMMAN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 3000 A STREET, SUITE 100, ANCHORAGE, AK, 99503.

ALEXANDER JOEL GRUMMAN has worked at UBS FINANCIAL SERVICES INC. since July 21, 2006

Disclosure History

ALEXANDER JOEL GRUMMAN has 1 Disclosure Event(s).

Date: October 21, 2005
Category: Customer Dispute
Allegations: CLIENT ALLEGES TAHT FINANCIAL ADVISOR MADE UNAUTHORIZED INVESTMENTS.
Damage Amount Requested: $15,546.00
Broker Comment: LETTER TO CUSTOMER- WE DO NOT BELIEVE THERE IS ANY MERIT TO THE ALLEGATIONS.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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