Greg Grajek

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CRD#: 1220268

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.

Greg Grajek, who also goes by Gregory Norman Grajek, Gregory Grajek, was a registered financial professional .

Greg is a previously registered financial professional and started their career in finance in 1984. Greg had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 5, Series 15, Series 7, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gregory Norman Grajek | Gregory Grajek

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.

1) GNG ASSET MANAGEMENT CO. UTAH LLC OWNER 2) ST. GEORGE UTAH LAND OWNER 3) PRIVATE SECURITY INVESTMENT, MULITIFACTOR AUTHENTICATION, INC INTERNET SECURITY 4)You Attest / 10 Wildflower aliso viejo,ca United States 92656 / Company/ Information Technology / minor advisory to my brother. / Member of a committee with management / supervisor functions / / advisor to my brother / owner of the company / Start Date 11/12/18/ 5) Zion Bike and Hike / 810 Bandolier Lane Washington,Utah United States 85780 / Partnership/ Sport & Leisure Facilities / raw land , mountain bike trails / Partner / / listen to the lead partners suggestion / Start Date 11/12/18 6) Mira Costa College / marketing advisory board / Advisor or advisory group member if advice given may influence an officer/board - Help sell event tickets and advise on future events/ 09/2017 / 7) NAME OF OTHER BUSINESS: Utah Arts Academy / INVESTMENT RELATED?: No / ADDRESS: 1091 N Bluff St, St. George, UT / NATURE OF THE BUSINESS: Education / POSITION: Board Member/ DUTIES: Advisor or advisory group member if advice given may influence an officer/board/ START DATE: 9-1-2022 / HOURS DEVOTED TO BUSINESS:

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Education

Finance

1999 - 2000

Business

1979 - 1983

Pre-Medicine/Pre-Medical Studies

1979 - 1983

Experience

Past

December 18, 2008 - March 20, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN DIEGO, CA

Past

December 17, 2008 - December 31, 2024

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN DIEGO, CA

Past

April 2, 2007 - January 13, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

FALLBROOK, CA

Past

April 2, 2007 - January 13, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

FALLBROOK, CA

Past

July 8, 1997 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

FALLBROOK, CA

Past

January 26, 1984 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

FALLBROOK, CA

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".

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/22/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/11/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/10/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 6/21/1984

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 6/20/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 8/7/1991

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

Current Firm

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1200 Harbor Boulevard, Weehawken, NJ 07086

Mailing Address

315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238

Phone number

(201) 352-3000

Established

Delaware since 06/30/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

12,629

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)

FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)

RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	OWNER
CAMACHO, MICHAEL ALAN	PRESIDENT	2907298
FRANCOMANO, LISA M.	CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS	2263875
MATTONE, RALPH	PRINCIPAL FINANCIAL OFFICER	1840894
MOZER, PETER	MANAGING DIRECTOR	2523858
MUNFA, LAUREN	CHIEF COMPLIANCE OFFICER	4431011
SAKAI, KIYE	GENERAL COUNSEL	7451987
SOMMA, JOSEPH	PRINCIPAL OPERATIONS OFFICER	2219496

Regulatory assets under management

Total Number of Accounts	1,134,923
AUM (Assets Under Management)	$ 808,822,670,899

Disclosures

Regulatory Event	475
Civil Event	5
Arbitration	443

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/26/2025	Cover Page	Report
05/15/2024	Cover Page	Report
12/19/2023	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

xxxxx@xxxx.xxx

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Greg Grajek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

Experience

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/22/2008

Series 63

Date: 1/11/1984

SIE

Date: 10/1/2018

Series 3

Date: 3/10/1989

Series 5

Date: 6/21/1984

Series 15

Date: 6/20/1984

Series 7

Date: 12/17/1983

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 8/7/1991

Current Firm

UBS FINANCIAL SERVICES INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

UBS FINANCIAL SERVICES INC.

TRUST BUT VERIFY

Contact information

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