Michael S. Grimnes
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.
Michael Scott Grimnes, who also goes by Michael Scott Grimes, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2019 - May 5, 2020
PALLADIUM CAPITAL GROUP, LLC
June 2, 2016 - July 31, 2017
WOOD (ARTHUR W.) COMPANY, INC.
January 29, 2004 - January 26, 2016
DETWILER FENTON & CO.
November 3, 2000 - May 20, 2002
UBS SECURITIES LLC
August 14, 2000 - November 3, 2000
UBS FINANCIAL SERVICES INC.
March 8, 1993 - August 14, 2000
J.C. BRADFORD & CO.
March 19, 1986 - February 17, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
PALLADIUM CAPITAL GROUP, LLC
CRD#: 129400 / SEC#: , 8-66223
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KURLAND, AKIVA JOSEPH | MEMBER | 5366252 |
| LAZARUS, MARILYN NMI | MEMBER | 5447746 |
| LAZARUS, NORMAN MICHAEL | MEMBER | 7172324 |
| PADOWITZ, JOEL EUGEN | MEMBER | 4725316 |
| MOCH, TAMARA ROSALIE | MEMBER | 7172315 |
| BUCKLEY, ANNE PAUL | CHIEF COMPLIANCE OFFICER | 1781079 |
| MEDREZ, NATAN | PARTIAL OWNER | 4792730 |
| PALLADIUM HOLDINGS, LLC | PARTIAL OWNER | |
| ROOZ, EFRAIM | PARTIAL OWNER | 5823833 |
| SLOVIN, MARK ADAM | CHIEF FINANCIAL OFFICER AND FINOP | 6786999 |
| WEINBERG, ILAN JOSHUA | PARTIAL OWNER | 2354293 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
