Georgene M. Grattan

GRATTAN FINANCIAL STRATEGIES

SAN GABRIEL, CA 91775-1271

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CRD#: 1085145

Professional summary

Georgene Marie Grattan, CFP® is a registered financial advisor currently at GRATTAN FINANCIAL STRATEGIES, INC. located in San Gabriel, California and B.B. GRAHAM & COMPANY, INC. located in San Gabriel, California.

Georgene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Georgene has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 8, Series 4, Series 27 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Planning

Employee and Employer Plan Ben...

Tax Planning

Insurance Planning

Do you have an area of expertise or specialization?

Comprehensive Financial Planni...

Attending College

Charitable & Planned Giving

Investment Management

Estate Planning

Employee Benefits

Insurance

Retirement

Stocks & Bonds

Long-term Care

Are you a "fiduciary"?

Yes

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.

GEORGENE M GRATTAN IS EMPLOYED BY THE INVESTMENT ADVISORY FIRM OF GRATTAN FINANCIAL STRATEGIES, INC, AS PRESIDENT AND CEO. ACCOUNTING AND MANAGEMENT FUNCTION DURING VARIOUS HOURS OF THE DAY. 50% SHAREHOLDER IN GRATTAN ENTERPRISES, INC, A FOOD COMPANY THAT PRODUCES CHOCOLATE, PASTRIES, JAMS, JELLIES. 30 HRS/MONTH. GEORGENE ALSO OWNS GIGI'S FINE CHOCOLATES AS A CHEF AND CHOCOLATIER, ABOUT 1 OR 2 HOURS A WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Georgene Marie Grattan'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

January 26, 2017 - Present

GRATTAN FINANCIAL STRATEGIES, INC.

Office #1: 8814 Huntington Drive, San Gabriel, CA 91775-1271

RIA

CRD#: 108449

SAN GABRIEL, CA

Current

August 26, 2004 - Present

B.B. GRAHAM & COMPANY, INC.

Office #1: 8814 East Huntington Drive, San Gabriel, CA 91775

RIA

CRD#: 41533

SAN GABRIEL, CA

Past

December 23, 1997 - August 31, 2004

GRATTAN FINANCIAL SECURITIES, INC.

CRD#: 43484

SAN GABRIEL, CA

Past

July 3, 1989 - September 23, 1998

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

July 19, 1988 - July 11, 1989

ASSOCIATED SECURITIES CORP.

CRD#: 12969

Past

July 16, 1987 - September 16, 1988

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Past

October 3, 1986 - August 9, 1988

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

Past

August 8, 1986 - October 21, 1986

LPL FINANCIAL LLC

CRD#: 6413

Past

December 6, 1985 - September 29, 1986

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

December 6, 1985 - October 1, 1986

EQUITABLE ADVISORS, LLC

CRD#: 6627

Past

March 23, 1983 - November 18, 1985

LPL FINANCIAL LLC

CRD#: 6413

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GRATTAN FINANCIAL STRATEGIES, INC.

CRD#: 108449 / SEC#: 801-55656

RIA

Registered Investment Advisory firm - (6/19/1998 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(8/26/2004)

California
(8/26/2004)

IAR

California
(1/26/2017)

Colorado
(8/26/2004)

Florida
(4/23/2010)

Idaho
(5/20/2022)

Michigan
(8/26/2004)

Nevada
(11/29/2004)

Tennessee
(1/19/2024)

Vermont
(10/19/2023)

Washington
(1/5/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/13/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 1/27/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 5/14/1984

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 10/15/1983

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/15/1983

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

FINRA

Current Firm

GRATTAN FINANCIAL STRATEGIES, INC.

CRD#: 108449 / SEC#: 801-55656

RIA

Registered Investment Advisory firm - (6/19/1998 Approved)

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Contact information

Main Address

8814 Huntington Drive, San Gabriel, CA 91775-1271

Mailing Address

Phone number

(626) 451-0840

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GFS BROCHURE 2024 (1/6/2025)

Regulatory assets under management

Total Number of Accounts	605
AUM (Assets Under Management)	$ 317,361,425

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
07/24/2024	Cover Page	Report
10/02/2023	Cover Page	Report
12/05/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

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Georgene M. Grattan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Georgene Marie Grattan's CRS (Customer Relationship Summary).

Certified licenses

Experience

B.B. GRAHAM & COMPANY, INC.

GRATTAN FINANCIAL SECURITIES, INC.

LPL FINANCIAL LLC

ASSOCIATED SECURITIES CORP.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

LPL FINANCIAL LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

GRATTAN FINANCIAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 8

Date: 1/27/1987

Series 4

Date: 5/14/1984

Series 27

Date: 10/15/1983

Series 24

Date: 7/15/1983

FINRA

FINRA

Current Firm

GRATTAN FINANCIAL STRATEGIES, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GRATTAN FINANCIAL STRATEGIES, INC.

TRUST BUT VERIFY

Contact information

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