Kevin L. Grundstrom
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.
Kevin Lee Grundstrom was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1995. Kevin had worked at 5 firms and has passed the Series 63, Series 7, Series 62, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2011 - April 24, 2013
MAXWELL SIMON, INC.
November 3, 2000 - January 13, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 6, 1998 - November 3, 2000
ROBERT W. BAIRD & CO. INCORPORATED
August 7, 1996 - February 13, 1998
JOHN G. KINNARD AND COMPANY, INCORPORATED
April 5, 1995 - September 9, 1996
TUSCHNER & COMPANY, 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 62
Date: 4/3/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
MAXWELL SIMON, INC.
CRD#: 12667 / SEC#: , 8-22712
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MSRJG HOLDINGS, LLC | PARENT COMPANY | |
| GOODMANSON, ROBERT JOSEPH | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 726865 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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