Michael Grimes

OCCIDENTAL ASSET MANAGEMENT, LLC

BURLINGAME, CA · CRD#

WELLS FARGO CLEARING SERVICES, LLC

DANVILLE, CA · CRD#

FALCON WEALTH PLANNING, LLC

San Jose, CA · CRD#

J.P. MORGAN SECURITIES LLC

Half Moon Bay, CA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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J.P. MORGAN SECURITIES LLC

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Years of Experience

36 years registered in the securities industry

Current & Past Employments

Current

MORGAN STANLEY & CO. LLCCurrent·CRD# 8209

BD

2725 Sand Hill Road, Building C, Suite 200, Menlo Park, CA 94025

March 12, 2026 - Present

Past

MORGAN STANLEYPast·CRD# 149777

BD

Menlo Park, CA

March 31, 2026 - October 29, 2026

MORGAN STANLEYPast·CRD# 149777

BD

Purchase, NY

December 11, 2024 - March 19, 2025

MORGAN STANLEY & CO. LLCPast·CRD# 8209

BD

Menlo Park, CA

August 3, 1995 - March 19, 2025

J.P. MORGAN SECURITIES LLCPast·CRD# 79

BD

New York, NY

March 13, 1992 - May 11, 1995

SALOMON BROTHERS INC.Past·CRD# 740

BD

New York, NY

August 1, 1990 - March 17, 1992

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OCCIDENTAL ASSET MANAGEMENT, LLC

BURLINGAME, CA · CRD#

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Customer Relationship Summary (CRS / FINRA)

Current Firm

MS

MORGAN STANLEY & CO. LLC

MORGAN STANLEY | MORGAN STANLEY DEAN WITTER | MORGAN STANLEY & CO., INCORPORATED | MORGAN STANLEY & CO. LLC | MORGAN STANLEY & CO. INCORPORATED

CRD#: 8209 / SEC#: 8-15869

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

1585 Broadway, New York, NY 10036-8293

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone Number

(212) 761-4000

Established

Delaware since 12/03/1969

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLC	MEMBER	—
BERKE, MATTHEW EVAN	CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR	2524594
BHAIMIA, ISMAIL OMAR	DIRECTOR	6264162
DAMAST, EVAN SCOTT	DIRECTOR	3198635
HENNESSEY, JACQUELINE A	TEXAS DESIGNATED PRINCIPAL	2194034
KRAUSE, GARD J	CHIEF COMPLIANCE OFFICER	2284628
LYNN, GARY MICHAEL	PRINCIPAL FINANCIAL OFFICER	2162411
MACEJKA, PATRICK NMN	DIRECTOR	2139145
MORANO, DAVID	PRINCIPAL OPERATIONS OFFICER	2189287
STERN, MICHAEL A	DIRECTOR	4939073

Disclosures

Regulatory Event

493

Civil Event

5

Arbitration

57

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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OCCIDENTAL ASSET MANAGEMENT, LLC

BURLINGAME, CA · CRD#

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DANVILLE, CA · CRD#

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San Jose, CA · CRD#

J.P. MORGAN SECURITIES LLC

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State Registrations and Notice Filings

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

RR

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

RR

Alabama
(3/13/2026)

RR

Alaska
(3/13/2026)

RR

Arizona
(3/13/2026)

RR

Arkansas
(3/13/2026)

RR

California
(3/12/2026)

RR

Colorado
(3/13/2026)

RR

Connecticut
(3/13/2026)

RR

Delaware
(3/13/2026)

RR

District of Columbia
(3/13/2026)

RR

Florida
(3/13/2026)

RR

Georgia
(3/13/2026)

RR

Hawaii
(3/13/2026)

RR

Idaho
(3/13/2026)

RR

Illinois
(3/13/2026)

RR

Indiana
(3/13/2026)

RR

Iowa
(3/13/2026)

RR

Kansas
(3/13/2026)

RR

Kentucky
(3/13/2026)

RR

Louisiana
(3/13/2026)

RR

Maine
(3/13/2026)

RR

Maryland
(3/13/2026)

RR

Massachusetts
(3/13/2026)

RR

Michigan
(3/13/2026)

RR

Minnesota
(3/13/2026)

RR

Mississippi
(3/13/2026)

RR

Missouri
(3/13/2026)

RR

Montana
(3/13/2026)

RR

Nebraska
(3/13/2026)

RR

Nevada
(3/13/2026)

RR

New Hampshire
(3/13/2026)

RR

New Jersey
(3/13/2026)

RR

New Mexico
(3/13/2026)

RR

New York
(3/12/2026)

RR

North Carolina
(3/13/2026)

RR

North Dakota
(3/13/2026)

RR

Ohio
(3/13/2026)

RR

Oklahoma
(3/13/2026)

RR

Oregon
(3/13/2026)

RR

Pennsylvania
(3/13/2026)

RR

Puerto Rico
(3/13/2026)

RR

Rhode Island
(3/13/2026)

RR

South Carolina
(3/13/2026)

RR

South Dakota
(3/13/2026)

RR

Tennessee
(3/13/2026)

RR

Texas
(3/13/2026)

RR

Utah
(3/13/2026)

RR

Vermont
(3/13/2026)

RR

Virgin Islands
(3/13/2026)

RR

Virginia
(3/13/2026)

RR

Washington
(3/13/2026)

RR

West Virginia
(3/13/2026)

RR

Wisconsin
(3/13/2026)

RR

Wyoming
(3/13/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Grimes's CRS (Customer Relationship Summary).

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