Charles W. Griege

Some features on this profile are disabled

CRD#: 2091661

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.

Charles William Griege JR, who also goes by Charles William Griege, Chuck Griege Jr, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles William Griege | Chuck Griege Jr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 1, 2009 - February 19, 2015

ROARING BLUE LION CAPITAL MANAGEMENT, L.P.

RIA

CRD#: 137355

DALLAS, TX

Past

September 26, 2006 - December 31, 2008

ROARING BLUE LION CAPITAL MANAGEMENT, L.P.

RIA

CRD#: 137355

DALLAS, TX

Past

February 3, 2006 - February 14, 2006

ROARING BLUE LION CAPITAL MANAGEMENT, L.P.

RIA

CRD#: 137355

DALLAS, TX

Past

October 19, 2000 - July 19, 2001

SOUNDVIEW TECHNOLOGY CORPORATION

CRD#: 15425

OLD GREENWICH, CT

Past

April 13, 2000 - November 6, 2000

E*OFFERING

CRD#: 36717

SAN FRANCISCO, CA

Past

May 29, 1997 - April 24, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

November 18, 1993 - November 2, 1995

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 3, 1992 - September 7, 1993

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/2/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/1/1992

General Securities Representative Examination

Current Firm

ROARING BLUE LION CAPITAL MANAGEMENT, L.P.

CRD#: 137355 / SEC#: 802-98343

RIA

Registered Investment Advisory firm - (2/19/2015 Terminated)

Texas

Registered Investment Advisory firm - (2/19/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

4443 Newmore Ave, Dallas, TX 75209-3032

Mailing Address

Phone number

(214) 855-2430

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	5/21/2015

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles W. Griege

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROARING BLUE LION CAPITAL MANAGEMENT, L.P.

ROARING BLUE LION CAPITAL MANAGEMENT, L.P.

ROARING BLUE LION CAPITAL MANAGEMENT, L.P.

SOUNDVIEW TECHNOLOGY CORPORATION

E*OFFERING

SANFORD C. BERNSTEIN & CO., INC.

LEHMAN BROTHERS INC.

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2006

Series 63

Date: 3/3/1994

Series 7

Date: 9/1/1992

Current Firm

ROARING BLUE LION CAPITAL MANAGEMENT, L.P.

Contact information

Documents

Part 2 Brochures

Exempt reporting advisers

Red Flags

Company Information

ROARING BLUE LION CAPITAL MANAGEMENT, L.P.

TRUST BUT VERIFY

Similar Advisors