Cory C. Grant
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.
Cory Christopher Grant was a registered financial professional .
Cory is a previously registered financial professional and started their career in finance in 1995. Cory had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2013 - August 21, 2014
DLK INVESTMENT MANAGEMENT
April 19, 2004 - March 10, 2010
OSAIC FS, INC.
September 14, 2000 - March 10, 2010
OSAIC FS, INC.
August 24, 1999 - September 15, 2000
SENTRA SECURITIES CORPORATION
October 2, 1995 - October 2, 1995
MERRIMAN CAPITAL, INC.
October 2, 1995 - August 25, 1999
MERRIMAN CAPITAL, INC.
Primary Firm SEC Registration
DLK INVESTMENT MANAGEMENT
CRD#: 149096 / SEC#: 801-69825
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
Current Firm
DLK INVESTMENT MANAGEMENT
CRD#: 149096 / SEC#: 801-69825
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,122 |
| AUM (Assets Under Management) | $ 435,005,553 |
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.
