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MG

Micaela J. Grimm

HANDELSBANKEN MARKETS SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 2448144
MG

Professional summary


Micaela Jeanne Grimm is a registered financial professional currently at HANDELSBANKEN MARKETS SECURITIES, INC. located in New York, New York.

Micaela is registered as a RR (Registered Representative) and started their career in finance in 1994. Micaela has worked at 8 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

top-8-questions

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 Micaela Jeanne Grimm's 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

February 23, 2009 - Present

HANDELSBANKEN MARKETS SECURITIES, INC.

Office #1: Handelsbanken Markets Securities Inc 875 Third Ave, New York, NY 10022Office #2: 900 Third Avenue 17 Th Floor, New York, NY 10022-4678
BD
CRD#: 38485
New York, NY
Past

September 5, 2003 - January 2, 2009

CARNEGIE, INC.

BD
CRD#: 31184
NEW YORK, NY
Past

May 1, 2001 - January 23, 2003

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

April 25, 2000 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

February 1, 1999 - April 11, 2000

ROBERT FLEMING INC.

BD
CRD#: 1711
NEW YORK, NY
Past

November 25, 1997 - December 31, 1998

AROS SECURITIES INC.

BD
CRD#: 39779
NEW YORK, NY
Past

February 23, 1996 - October 28, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 21, 1994 - February 5, 1996

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY

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
Louisiana
(2/3/2014)
RR
New York
(2/23/2009)

Exams


State Security Law Exam
RR
Series 63
Date: 3/29/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


HM
HANDELSBANKEN MARKETS SECURITIES, INC.
AFFILIATED COMPANY UNDER COMMON CONTROL: SVENSKA HANDELSBANKEN AB (PUBL) NY BRANCH | HANDELSBANKEN MARKETS SECURITIES, INC. | HANDELSBANKEN ASSET MANAGEMENT, USA

CRD#: 38485 / SEC#: 801-71066, 8-48279

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information


Main Address
900 Third Avenue 17 Th Floor, New York, NY 10022-4678
Mailing Address
900 Third Avenue 17 Th Floor, New York, NY 10022-4678
Phone number
(212) 326-5153
Established
Delaware since 01/09/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)


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

Documents


Latest Form ADV

Part 2 Brochures

HANDELSBANKEN ASSET MANAGEMENT, USA (3/8/2013)

Direct owners and executive officers


NamePositionCRD#
SVENSKA HANDELSBANKEN AB (PUBL)SHAREHOLDER
GRIMM, MICAELA JEANNEPOO2448144
GRIMM, MICAELA JEANNECHIEF COMPLIANCE OFFICER2448144
GRIMM, MICAELA JEANNEPRESIDENT2448144
GRIMM, MICAELA JEANNECO-CFO2448144
VEGA, DOREEN LEMACO-CFO, FINOP, PFO5364084

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


HANDELSBANKEN MARKETS SECURITIES, INC.

CRD#: 38485New York, NY 10022

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