John R. Grundy
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 Roger Grundy III, who also goes by John Grundy, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2013 - August 29, 2025
MULTI-BANK SECURITIES, INC.
March 1, 2010 - September 10, 2013
MULTI-BANK SECURITIES, INC.
September 2, 2003 - February 26, 2010
CU INVESTMENT SOLUTIONS LLC
July 31, 2003 - September 2, 2003
WESTMINSTER FINANCIAL SECURITIES, INC.
July 30, 1998 - May 20, 2002
FORESIDE DISTRIBUTION SERVICES, L.P.
September 27, 1996 - May 29, 1998
PRUDENTIAL EQUITY GROUP, LLC
June 24, 1993 - October 14, 1996
AMERIPRISE ADVISOR SERVICES, INC.
March 29, 1993 - June 22, 1993
CHARLES SCHWAB & CO., 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
Series 8
Date: 3/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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