Andrew J. Grillo
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.
Andrew J Grillo, who also goes by Andrew Grillo, Andy Grillo, Angelo Joseph Grillo, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1983. Andrew had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2018 - November 15, 2021
LEBENTHAL FINANCIAL SERVICES, INC.
March 23, 2017 - March 30, 2017
PASSERELLE ADVISORS, LLC
November 1, 2013 - June 6, 2016
LEBENTHAL ASSET MANAGEMENT, LLC
November 1, 2013 - June 6, 2016
LEBENTHAL & CO., LLC
June 4, 2013 - August 29, 2013
COWEN PRIME SERVICES LLC
June 4, 2013 - August 29, 2013
COWEN PRIME SERVICES LLC
September 29, 2012 - June 6, 2013
GROWTH CAPITAL SERVICES, INC.
December 9, 2011 - July 13, 2012
FOREFRONT CAPITAL MARKETS LLC
June 1, 2009 - December 7, 2009
MORGAN STANLEY
May 13, 1996 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 12, 1992 - April 29, 1996
DIME SECURITIES, INC.
August 12, 1988 - May 20, 1992
INVEST FINANCIAL CORPORATION
July 9, 1986 - June 18, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 1984 - July 21, 1986
MOORE & SCHLEY, CAMERON & CO.
March 19, 1984 - November 15, 1984
PHILIPS, APPEL & WALDEN, INC.
December 21, 1983 - March 1, 1984
E. G. FRANCES CO., INC.
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
Series 8
Date: 10/31/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEBENTHAL FINANCIAL SERVICES, INC.
CRD#: 137988 / SEC#: , 8-67140
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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