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CG

Chad B. Grochowski

CRAIG-HALLUM CAPITAL GROUP LLC
MINNEAPOLIS, MN 55401
Some features on this profile are disabled
CRD#: 2149796
CG

Professional summary

Chad Brian Grochowski is a registered financial professional currently at CRAIG-HALLUM CAPITAL GROUP LLC located in Minneapolis, Minnesota.

Chad is registered as a RR (Registered Representative) and started their career in finance in 1991. Chad has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Chad Brian Grochowski'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

July 17, 2003 - Present

CRAIG-HALLUM CAPITAL GROUP LLC

Office #1: 323 N Washington Ave Suite 300, Minneapolis, MN 55401Office #2: 323 N Washington Ave Suite 300, Minneapolis, MN 55401
BD
CRD#: 121395
MINNEAPOLIS, MN
Past

June 8, 1999 - April 16, 2003

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

July 16, 1991 - May 19, 1999

JOHN G. KINNARD AND COMPANY, INCORPORATED

BD
CRD#: 466
MINNEAPOLIS, MN

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(7/17/2003)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/1/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/15/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CC
CRAIG-HALLUM CAPITAL GROUP LLC
CRAIG-HALLUM CAPITAL GROUP LLC

CRD#: 121395 / SEC#: , 8-65407

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
323 N Washington Ave Suite 300, Minneapolis, MN 55401
Mailing Address
323 N Washington Ave Suite 300, Minneapolis, MN 55401
Phone number
(612) 334-6300
Established
Minnesota since 05/30/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CRAIG-HALLUM HOLDINGS LLCSHAREHOLDER
DYER, STEVEN LEEDIR, CEO4341538
EMMEL, THOMAS EDMUNDDIR2728311
HARRIS, KEVIN PATRICKDIR, PRESIDENT724657
HARTFIEL, WILLIAM FREDERICKDIR2093426
JENSEN, CHRISTOPHER RCCO3219762
SONSTEGARD, JEANNIE LOUISECFO1643359
ZAVORAL, JAMES HENRY JRDIR2415854

Disclosures

Regulatory Event4

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.

Company Information

CRAIG-HALLUM CAPITAL GROUP LLC

CRD#: 121395Minneapolis, MN 55401

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