Julia A. Mcginnis

CETERA INVESTMENT ADVISERS LLC

OLYMPIA, WA 98502

Some features on this profile are disabled

CRD#: 1696305

Professional summary

Julia Ann Mcginnis, who also goes by Julia A Grimm, Julia Ann Grimm, Julie A Grimm, Julia A Mcginnis, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Olympia, Washington and CETERA INVESTMENT SERVICES LLC located in Olympia, Washington.

Julia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Julia has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Julia A Grimm | Julia Ann Grimm | Julie A Grimm | Julia A Mcginnis

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) - RIA

Click below to view Julia Ann Mcginnis'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 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 629 Summit Lake Shore Rd, Olympia, WA 98502

RIA

CRD#: 105644

OLYMPIA, WA

Current

December 11, 2012 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 629 Summit Lake Shore Rd, Olympia, WA 98502

CRD#: 15340

OLYMPIA, WA

Past

December 11, 2012 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

HONOLULU, HI

Past

October 1, 2012 - December 12, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LACEY, WA

Past

October 1, 2012 - December 12, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

LACEY, WA

Past

December 23, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

OLYMPIA, WA

Past

December 23, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

OLYMPIA, WA

Past

October 24, 2009 - January 3, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OLYMPIA, WA

Past

October 24, 2009 - January 3, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OLYMPIA, WA

Past

July 12, 1999 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

OLYMPIA, WA

Past

July 1, 1998 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

OLYMPIA, WA

Past

July 1, 1998 - July 12, 1999

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

July 20, 1995 - July 1, 1998

SEAFIRST INVESTMENT SERVICES, INC.

CRD#: 17411

SEATTLE, WA

Past

December 10, 1991 - July 7, 1995

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

August 1, 1991 - October 8, 1991

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

June 16, 1989 - September 4, 1991

GAF FINANCIAL AND INSURANCE SERVICES

CRD#: 14123

Past

June 12, 1989 - August 1, 1991

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

July 8, 1987 - September 9, 1988

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(1/16/2018)

California
(1/2/2015)

Hawaii
(7/10/2018)

Idaho
(6/11/2018)

Kentucky
(11/19/2024)

Missouri
(7/25/2018)

New York
(10/23/2022)

Oregon
(11/8/2017)

Washington
(12/11/2012)

IAR

Washington
(1/21/2014)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/30/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/14/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/5/1990

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Thomas Sullivan

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Fredericksburg, VA

Assunta Mclane

SUMMIT PLACE FINANCIAL ADVISORS, LLC

IAR

Summit, NJ

Frank Ward

LPL FINANCIAL LLC

IAR

MORRISTOWN, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Julia A. Mcginnis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julia Ann Mcginnis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BA INVESTMENT SERVICES, INC.

SEAFIRST INVESTMENT SERVICES, INC.

ESSEX NATIONAL SECURITIES, LLC

IFMG SECURITIES, INC.

GAF FINANCIAL AND INSURANCE SERVICES

PAMCO SECURITIES AND INSURANCE SERVICES

CAPITAL BROKERAGE CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/1997

Series 63

Date: 7/14/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/27/1995

Series 6

Date: 7/7/1987

Series 26

Date: 11/5/1990

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors