Mark F. Grilli

R.J. O'BRIEN SECURITIES

Chicago, IL 60606

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CRD#: 1510544

Professional summary

Mark Francis Grilli, who also goes by Mark F Grilli, is a registered financial professional currently at R.J. O'BRIEN SECURITIES, LLC located in Chicago, Illinois.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1992. Mark has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark F Grilli

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) - BD

Click below to view Mark Francis Grilli's CRS (Customer Relationship Summary).

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

January 30, 2023 - Present

R.J. O'BRIEN SECURITIES, LLC

Office #1: 222 South Riverside Plaza, Suite 1200, Chicago, IL 60606

CRD#: 143624

Chicago, IL

Past

January 9, 2017 - February 1, 2023

ODEON CAPITAL GROUP LLC

CRD#: 148493

NEW YORK, NY

Past

August 9, 1999 - May 31, 2016

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 23, 1996 - August 29, 1999

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

March 24, 1992 - May 9, 1996

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/15/2025)

California
(1/16/2025)

Colorado
(7/15/2025)

Connecticut
(7/15/2025)

Florida
(7/16/2025)

Georgia
(7/16/2025)

Illinois
(2/21/2023)

Maryland
(7/17/2025)

Massachusetts
(5/28/2025)

Minnesota
(7/7/2025)

New Jersey
(7/7/2025)

New York
(2/19/2023)

North Carolina
(1/16/2025)

Ohio
(2/7/2025)

Pennsylvania
(1/22/2025)

Tennessee
(4/23/2025)

Texas
(1/31/2023)

Wisconsin
(1/16/2025)

Exams

State Security Law Exam

Series 63

Date: 5/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/17/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

R.J. O'BRIEN SECURITIES, LLC

R.J. O'BRIEN SECURITIES, INC. | R.J. O'BRIEN SECURITIES, LLC

CRD#: 143624 / SEC#: , 8-67587

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

222 South Riverside Plaza, Suite 1200, Chicago, IL 60606

Mailing Address

222 South Riverside Plaza Suite 1200, Chicago, IL 60606

Phone number

(312) 373-5000

Established

Delaware since 06/28/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JVMC HOLDINGS CORP	SHAREHOLDER
CHO, DAIHEE	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	7424437
GABRIELE, JAMES ANDREW	LLC BOARD OF MANAGERS	2694460
RUCCI, HEATHER	LLC BOARD OF MANAGERS	5474878
SZEKELY, GIGI	CHIEF COMPLIANCE OFFICER	2530826

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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Advisor Monitoring

Firm Stability Insights

Mark F. Grilli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Francis Grilli's CRS (Customer Relationship Summary).

Certified licenses

Experience

ODEON CAPITAL GROUP LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

FLEET ENTERPRISES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/1996

SIE

Date: 10/1/2018

Series 3

Date: 5/17/2004

Series 7

Date: 7/16/1988

FINRA

Current Firm

R.J. O'BRIEN SECURITIES, LLC

Contact information

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

R.J. O'BRIEN SECURITIES, LLC

TRUST BUT VERIFY

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