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MG

Mark J. Grimmig

LOOP CAPITAL MARKETS LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 1055030
MG

Professional summary

Mark James Grimmig is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1982. Mark has worked at 12 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark James Grimmig's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 27, 2015 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 88 Pine Street 25th Floor, New York, NY 10005Office #2: 222 S Main Street 5th Floor, Salt Lake City, UT 84101
RIA
BD
CRD#: 43098
New York, NY
Past

January 31, 2012 - October 29, 2015

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
NEW YORK, NY
Past

January 27, 2010 - January 30, 2012

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

July 7, 2008 - January 27, 2010

M. R. BEAL & COMPANY

BD
CRD#: 22088
NEW YORK, NY
Past

April 21, 2003 - July 2, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 28, 1991 - April 14, 2003

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

March 5, 1990 - March 6, 1991

WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.

BD
CRD#: 25960
MORRISTOWN, NJ
Past

September 1, 1989 - January 1, 1990

PRINTON, KANE GROUP, INC.

BD
CRD#: 23667
Past

June 23, 1988 - September 1, 1989

PRINTON, KANE GOVERNMENT SECURITIES, INC.

BD
CRD#: 17733
Past

April 24, 1986 - September 1, 1989

PRINTON KANE & CO., L.P.

BD
CRD#: 6358
Past

June 13, 1984 - October 26, 1984

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

July 22, 1982 - March 1, 1984

SAMUEL A. RAMIREZ & COMPANY, INC.

BD
CRD#: 6963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Maryland
(11/7/2017)
RR
New Jersey
(2/9/2017)
RR
New York
(10/27/2015)
RR
South Dakota
(1/5/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 3/20/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/6/2012
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

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.

Company Information

LOOP CAPITAL MARKETS LLC

CRD#: 43098New York, NY 10005

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