Joseph Grieco
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.
Joseph Grieco, CFP® was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 4 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
Start date: 1987
Experience
March 20, 2020 - August 18, 2021
CITIZENS SECURITIES, INC.
March 20, 2020 - August 18, 2021
CITIZENS SECURITIES, INC.
April 5, 2017 - May 31, 2019
KEY INVESTMENT SERVICES LLC
April 5, 2017 - May 31, 2019
KEY INVESTMENT SERVICES LLC
November 20, 2015 - April 4, 2017
THE HUNTINGTON INVESTMENT COMPANY
November 20, 2015 - April 4, 2017
THE HUNTINGTON INVESTMENT COMPANY
November 14, 2012 - November 21, 2014
ESSEX NATIONAL SECURITIES, LLC
November 14, 2012 - November 21, 2014
ESSEX NATIONAL SECURITIES, LLC
April 14, 2009 - November 2, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 14, 2009 - November 2, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 25, 2008 - July 15, 2008
FISHER INVESTMENTS
August 17, 2006 - October 16, 2007
WALNUT STREET SECURITIES, INC.
June 25, 2005 - August 18, 2005
JANNEY MONTGOMERY SCOTT LLC
June 25, 2005 - August 18, 2005
JANNEY MONTGOMERY SCOTT LLC
August 11, 2003 - June 25, 2005
PARKER/HUNTER INCORPORATED
August 11, 2003 - June 25, 2005
PARKER/HUNTER INCORPORATED
November 25, 2002 - August 26, 2003
QUICK & REILLY, INC.
October 24, 2001 - August 26, 2003
QUICK & REILLY, INC.
February 9, 1999 - August 10, 2001
NATCITY INVESTMENTS, INC.
August 27, 1997 - January 20, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1995 - December 31, 1996
INVESTORS CAPITAL CORP.
November 11, 1992 - May 24, 1994
WALNUT STREET SECURITIES, INC.
April 2, 1990 - December 4, 1991
WALNUT STREET SECURITIES, INC.
July 29, 1987 - June 21, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
January 7, 1987 - August 1, 1987
FSC SECURITIES CORPORATION
January 24, 1986 - January 29, 1987
MONY SECURITIES CORPORATION
November 25, 1983 - January 16, 1986
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
