Scott R. Grady
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Robert Grady was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1981. Scott had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2014 - December 4, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2014 - December 4, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 2009 - March 17, 2014
RAYMOND JAMES & ASSOCIATES, INC.
June 15, 2007 - March 17, 2014
RAYMOND JAMES & ASSOCIATES, INC.
January 17, 2007 - June 20, 2007
WEDBUSH SECURITIES INC.
January 3, 2001 - June 20, 2007
WEDBUSH SECURITIES INC.
May 1, 1997 - January 24, 2001
J. W. GARRETT AND COMPANY
March 11, 1996 - April 28, 1997
NORCROSS & COMPANY
May 31, 1995 - March 11, 1996
WESTAMERICA INVESTMENT GROUP
March 19, 1993 - April 26, 1995
JOHN G. KINNARD AND COMPANY, INCORPORATED
November 5, 1991 - March 17, 1993
DICKINSON & CO.
January 5, 1988 - September 4, 1991
MORGAN STANLEY DW INC.
March 16, 1984 - January 14, 1988
E. F. HUTTON & COMPANY INC
August 21, 1981 - March 16, 1984
RAUSCHER PIERCE REFSNES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
