Robert Grimaldi

VANDERBILT SECURITIES

Lake Grove, NY 11755

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CRD#: 2350886

Professional summary

Robert Grimaldi, who also goes by Bob Grimaldi, Robert J Grimaldi, is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Lake Grove, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

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Aliases

Bob Grimaldi | Robert J Grimaldi

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.

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CRS (Client Relationship Summary) - BD

Click below to view Robert Grimaldi'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

October 15, 2018 - Present

VANDERBILT SECURITIES, LLC

Office #1: 2233 Nesconset Hwy. Suite 107, Lake Grove, NY 11755

CRD#: 5953

Lake Grove, NY

Past

November 9, 2010 - October 15, 2018

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

November 17, 2009 - November 2, 2010

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

December 12, 2005 - November 6, 2009

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

CENTEREACH, NY

Past

December 20, 2002 - December 15, 2005

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

May 3, 1999 - January 6, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

March 10, 1995 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

June 18, 1993 - December 21, 1994

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

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

Florida
(10/15/2018)

Georgia
(1/4/2021)

Nevada
(8/9/2021)

New Jersey
(10/15/2018)

New York
(10/15/2018)

North Carolina
(10/15/2018)

Exams

State Security Law Exam

Series 63

Date: 8/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/17/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

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Robert Grimaldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Grimaldi's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CADARET, GRANT & CO., INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

LUTHERAN BROTHERHOOD SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/1993

SIE

Date: 10/1/2018

Series 6

Date: 6/17/1993

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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