John H. Grigg
Professional summary
John Humphrey Grigg, who also goes by John Mumphrey Grigg, John Mumphrey Griggs, is a registered financial professional currently at FIDUS SECURITIES, LLC located in Charlotte, North Carolina.
John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Humphrey Grigg's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 22, 2005 - Present
FIDUS SECURITIES, LLC
Office #1: 4201 Congress Street Suite 250, Charlotte, NC 28209October 1, 1999 - January 10, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 1, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
July 25, 1998 - February 1, 1999
BOWLES HOLLOWELL CONNER & CO.
October 22, 1987 - April 27, 1989
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
(7/26/2022)
(10/20/2006)
(3/3/2005)
(4/13/2006)
(9/28/2009)
(4/14/2005)
(4/14/2005)
(2/3/2021)
(9/28/2009)
(11/5/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FIDUS SECURITIES, LLC
CRD#: 132882 / SEC#: , 8-66656
Contact information
FINRA licenses (24 States and Territories)
Documents
Red Flags
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