Tomma R. Grimshaw
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.
Tomma Rae Grimshaw, who also goes by Tomma Rae Botelho, Tomma Botelho, was a registered financial advisor .
Tomma is a previously registered financial advisor and started their career in finance in 2003. Tomma had worked at 1 firm and has passed the Series 65, Series 63 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2003 - November 7, 2003
YOUNG RICHARD C & CO LTD
Primary Firm SEC Registration
YOUNG RICHARD C & CO LTD
CRD#: 105866 / SEC#: 801-35765
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 2
Date: 9/6/1994
Non-Member General Securities ExaminationCurrent Firm
YOUNG RICHARD C & CO LTD
CRD#: 105866 / SEC#: 801-35765
Contact information
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,036 |
| AUM (Assets Under Management) | $ 1,562,885,060 |
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.
