Dennis L. Grigsby
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.
Dennis Lloyd Grigsby, who also goes by Dennis L Grigsby, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1981. Dennis had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2017 - January 9, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - January 9, 2018
MML INVESTORS SERVICES, LLC
January 16, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 14, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
February 10, 2014 - January 14, 2015
LPL FINANCIAL LLC
October 11, 2011 - December 31, 2011
LPL FINANCIAL LLC
October 11, 2011 - January 14, 2015
LPL FINANCIAL LLC
April 1, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
August 10, 2007 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
June 13, 2003 - August 6, 2007
GENEOS WEALTH MANAGEMENT, INC.
January 13, 1999 - June 20, 2003
CETERA ADVISORS LLC
April 19, 1995 - December 2, 1998
OSAIC WEALTH, INC.
November 9, 1994 - April 24, 1995
WMA SECURITIES, INC.
September 8, 1992 - October 25, 1994
RUSHMORE SECURITIES CORPORATION
October 11, 1989 - September 14, 1992
HUCKIN FINANCIAL GROUP, INC.
May 15, 1987 - September 7, 1989
CITISTREET EQUITIES LLC
October 20, 1981 - May 26, 1987
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
