William D. Grimes
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.
William Dean Grimes, who also goes by Grimes, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 27, Series 53 and Series 54FN exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2010 - October 7, 2025
ROOSEVELT & CROSS, INCORPORATED
June 6, 1990 - March 30, 2010
R. W. ELLWOOD & CO., INC.
November 21, 1986 - May 25, 1990
TITUS & DONNELLY LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 54FN
Date: 10/4/1986
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
ROOSEVELT & CROSS, INCORPORATED
CRD#: 6964 / SEC#: , 8-19363
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FARAWELL, JOHN MADDEN | DIRECTOR | 1018554 |
| FINN, FRANCIS GREGORY | CHAIRMAN OF THE BOARD | 1019346 |
| BRENNAN, ELAINE MARIE | DIRECTOR | 720043 |
| HALLER, JOSEPH CROSS | DIRECTOR | 4826263 |
| MONAHAN, SCOTT THOMAS | DIRECTOR | 4882785 |
| STAVITSKI, CHARLES CLEMENT | CEO | 5435642 |
| WAGNER, DAVID CHARLES | DIRECTOR | 4249755 |
| WELSH, WILLIAM WALTER | 5% OWNER | 1602929 |
| CAWLEY, KATHLEEN | CCO | 1129804 |
| MOORE, DAVID WILLIAM | COO/SENIOR VICE PRESIDENT | 2209528 |
| SAKOL, DANIEL SCOTT | FINOP | 2813237 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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