Phillip J. Grasso
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.
Phillip Joseph Grasso was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1972. Phillip had worked at 5 firms and has passed the PC, Series 41, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2005 - November 5, 2012
THINKEQUITY LLC
May 7, 2003 - June 30, 2005
D.R. SAUL & CO., INC.
October 1, 1997 - March 4, 2003
BANC OF AMERICA SECURITIES LLC
February 27, 1984 - October 1, 1997
MONTGOMERY SECURITIES
September 22, 1972 - March 5, 1984
SUTRO & CO. INCORPORATED
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
PC
Date: 1/11/1980
AMEX Put and Call ExamSeries 41
Date: 6/8/1977
NYSE Allied Member ExaminationSeries 40
Date: 12/6/1976
Registered Principal ExaminationCurrent Firm
THINKEQUITY LLC
CRD#: 44274 / SEC#: 801-63835, 8-50602
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THINKEQUITY HOLDINGS LLC | HOLDING COMPANY OF THINKEQUITY LLC | |
| ARMSTRONG, MICHAEL BENJAMIN | CHIEF OPERATING OFFICER OF RESEARCH | 2806297 |
| BRITT, HARRIET JAYNE | CHIEF COMPLIANCE OFFICER | 1429634 |
| GONSALVES, DOUGLAS RONALD | HEAD OF INVESTMENT BANKING | 2356831 |
| HANSEN, HOLLY JOY | HEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH | 2169008 |
| JOHNSTON, PHILIP MURRAY | HEAD OF SALES TRADING | 1730461 |
| MACHIN, FRANCISCO JAVIER | CONTROLLER/FINOP | 4698240 |
| MONOPOLI, JACK GIACOMO | HEAD OF TRADING | 1718078 |
| NOLLENBERGER, BRUCE WESTON | HEAD OF THINKEQUITY ASSET AND WEALTH MANAGEMENT | 823846 |
| RAJ, DEEPAK DEV | EXECUTIVE VICE PRESIDENT | 2817606 |
| WEITGENANT, DAVID ANDREW | CROP & SROP | 2096196 |
| WRIGHT, GREGORY LANCE | CHIEF EXECUTIVE OFFICER | 1564124 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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