John Grimaldi

GRIMALDI INVESTMENT SERVICES

Yorktown, IN

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CRD#: 1229025

Professional summary

John Grimaldi JR, who also goes by Jack Grimaldi Jr, is a registered financial advisor currently at GRIMALDI INVESTMENT SERVICES, LLC located in Yorktown, Indiana.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. John has worked at 4 firms and has passed the Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack Grimaldi Jr

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) - RIA

Click below to view John Grimaldi JR's 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

September 30, 1991 - Present

GRIMALDI INVESTMENT SERVICES, LLC

RIA

CRD#: 121646

Yorktown, IN

Past

August 17, 1989 - August 28, 1999

SYCAMORE FINANCIAL GROUP

CRD#: 14143

KOKOMO, IN

Past

February 9, 1989 - August 28, 1989

RAFFENSPERGER, HUGHES & CO., INC.

CRD#: 699

INDIANAPOLIS, IN

Past

January 25, 1984 - March 7, 1990

K. J. BROWN & CO., INC.

CRD#: 477

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.

Highlighted states indicate IAR registrations

IAR

Indiana
(9/30/1991)

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

Series 63

Date: 1/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/18/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Current Firm

GRIMALDI INVESTMENT SERVICES, LLC

GRIMALDI INVESTMENT SERVICES CO. | JOHN GRIMALDI, JR. DBA GRIMALDI INVESTMENT SERVICES, LLC | JOHN GRIMALDI, JR. DBA GRIMALDI INVESTMENT SERVICES COMPANY | GRIMALDI INVESTMENT SERVICES, LLC

CRD#: 121646 / SEC#:

Indiana

Registered Investment Advisory firm - (9/30/1991 Approved)

Maryland

Registered Investment Advisory firm - (11/15/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Yorktown, IN

Mailing Address

Phone number

(765) 405-1092

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 13,169,601

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.

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John Grimaldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Grimaldi JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRIMALDI INVESTMENT SERVICES, LLC

SYCAMORE FINANCIAL GROUP

RAFFENSPERGER, HUGHES & CO., INC.

K. J. BROWN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/13/1984

Series 3

Date: 8/18/1987

Series 7

Date: 1/21/1984

Current Firm

GRIMALDI INVESTMENT SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GRIMALDI INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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