Carla L. Grillo

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CRD#: 1305717

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.

Carla Lee Grillo was a registered financial professional .

Carla is a previously registered financial professional and started their career in finance in 2002. Carla had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

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

Experience

Past

March 26, 2013 - November 19, 2013

RETIREMENT RESOURCES INVESTMENT CORPORATION

CRD#: 47723

PEABODY, MA

Past

April 14, 2008 - April 6, 2011

RETIREMENT RESOURCES INVESTMENT CORPORATION

CRD#: 47723

PEABODY, MA

Past

April 9, 2004 - February 22, 2006

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 26, 2002 - December 31, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

RETIREMENT RESOURCES INVESTMENT CORPORATION

RETIREMENT RESOURCE INVESTMENT CORP. | RETIREMENT RESOURCES INVESTMENT CORPORATION

CRD#: 47723 / SEC#: 801-64658, 8-51876

RIA

Registered Investment Advisory firm - SEC (9/2/2005 Approved)

Terminated by SEC on 12/31/2014

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

Series 63

Date: 9/9/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/22/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/28/2002

General Securities Principal Examination

Current Firm

RETIREMENT RESOURCES INVESTMENT CORPORATION

RETIREMENT RESOURCE INVESTMENT CORP. | RETIREMENT RESOURCES INVESTMENT CORPORATION

CRD#: 47723 / SEC#: 801-64658, 8-51876

RIA

Registered Investment Advisory firm - SEC (9/2/2005 Approved)

Terminated by SEC on 12/31/2014

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Contact information

Main Address

100 Corporate Place, Peabody, MA 01960

Mailing Address

Phone number

(978) 536-9000

Established

Massachusetts since 04/15/1999

Firm type

Corporation

Fiscal year end

June

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 APPENDIX 1 WRAP FEE PROGRAM BROCHURE (4/17/2025)

RETIREMENT RESOURCES DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (4/17/2025)

Direct owners and executive officers

Name	Position	CRD#
PHILLIPS, JAMES FRANKLIN	PRESIDENT, TREASURER, DIRECTOR, CHIEF COMPLIANCE OFFICER, CFO	858532
GENDRON, KAREN MARIE	FINOP	1503330

Regulatory assets under management

Total Number of Accounts	290
AUM (Assets Under Management)	$ 1,992,257,844

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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Carla L. Grillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RETIREMENT RESOURCES INVESTMENT CORPORATION

RETIREMENT RESOURCES INVESTMENT CORPORATION

BANC OF AMERICA SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

RETIREMENT RESOURCES INVESTMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/2002

Series 7

Date: 7/22/2002

Series 24

Date: 8/28/2002

Current Firm

RETIREMENT RESOURCES INVESTMENT CORPORATION

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

RETIREMENT RESOURCES INVESTMENT CORPORATION

TRUST BUT VERIFY

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