John B. Grace
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.
John Barrett Grace was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2013 - September 3, 2015
TD AMERITRADE CLEARING, INC.
December 22, 2008 - March 28, 2013
TD AMERITRADE, INC.
December 22, 2008 - March 28, 2013
TD AMERITRADE, INC.
September 1, 2006 - June 19, 2007
NATIONAL PLANNING CORPORATION
October 6, 2004 - May 19, 2006
PRUCO SECURITIES, LLC.
August 5, 2004 - May 19, 2006
PRUCO SECURITIES, LLC.
April 2, 2003 - September 24, 2004
HIGH MARK SECURITIES, INC.
September 6, 2002 - April 9, 2003
PARK AVENUE SECURITIES LLC
February 20, 1992 - September 4, 2002
METROPOLITAN LIFE INSURANCE COMPANY
February 20, 1992 - September 4, 2002
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
Red Flags
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