Arvid J. Grier
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.
Arvid James Grier, who also goes by A.j. Grier, Aj Grier, Arvid J Grier, Arvid James Grier, Arvid Grier, was a registered financial professional .
Arvid is a previously registered financial professional and started their career in finance in 1985. Arvid had worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3, Series 7, 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
June 8, 2020 - July 27, 2020
USAA INVESTMENT SERVICES COMPANY
June 4, 2019 - July 27, 2020
USAA INVESTMENT SERVICES COMPANY
May 29, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
March 15, 2018 - April 9, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2018 - April 9, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2015 - August 23, 2017
BBVA SECURITIES INC.
October 28, 2014 - June 12, 2015
J.P. MORGAN SECURITIES LLC
October 17, 2014 - June 12, 2015
J.P. MORGAN SECURITIES LLC
November 14, 2008 - February 12, 2014
WADDELL & REED
November 13, 2008 - February 12, 2014
WADDELL & REED
September 5, 2006 - February 22, 2008
AMERIPRISE ADVISOR SERVICES, INC.
August 31, 2006 - February 22, 2008
AMERIPRISE ADVISOR SERVICES, INC.
May 29, 2001 - June 2, 2006
D.A. DAVIDSON & CO.
January 18, 2001 - June 2, 2006
D.A. DAVIDSON & CO.
July 27, 1993 - January 25, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 1985 - July 30, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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: 7/21/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
