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DG

David D. Grumhaus

VP DISTRIBUTORS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2544692
DG

Professional summary

David Dean Grumhaus JR, who also goes by David Dean Grumhaus, is a registered financial professional currently at VP DISTRIBUTORS LLC located in Chicago, Illinois.

David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Dean Grumhaus

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 David Dean Grumhaus JR'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

July 7, 2015 - Present

VP DISTRIBUTORS LLC

Office #1: 10 S. Wacker Drive 19th Floor, Chicago, IL 60606
BD
CRD#: 3036
Chicago, IL
Past

October 23, 2015 - December 31, 2025

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

RIA
CRD#: 107296
CHICAGO, IL
Past

July 21, 1999 - November 25, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

December 19, 1995 - June 16, 1999

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/10/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VD
VP DISTRIBUTORS LLC
PHOENIX EQUITY PLANNING CORPORATION | VP DISTRIBUTORS LLC | VP DISTRIBUTORS INC

CRD#: 3036 / SEC#: , 8-14100

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

Main Address
One Financial Plaza, Hartford, CT 06103
Mailing Address
One Financial Plaza, Hartford, CT 06103
Phone number
(860) 503-1348
Established
Delaware since 09/30/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VIRTUS PARTNERS, INCSOLE MEMBER
BACHRACH, IANSENIOR MANAGING DIRECTOR, MARKETING2797509
BICKS, MICHAEL WAYNEMANAGING DIRECTOR, DISTRIBUTION INTELLIGENCE5450963
DANOS, CHRISTOPHER ROBERTMANAGING DIRECTOR, NATIONAL ACCOUNTS2716625
FRANCO, THOMAS RICHARDSENIOR MANAGING DIRECTOR, RETAIL SALES2651546
GRISWOLD, HEIDI CHRISTINEVICE PRESIDENT, FUND SERVICES2304631
HANLEY, DAVID GEORGE JRSENIOR VICE PRESIDENT AND TREASURER5455435
KATZ, DAVID JAYSENIOR MANAGING DIRECTOR, INSTITUTIONAL2813039
MACCONE, JOSEPH EDMUNDSENIOR MANAGING DIRECTOR, STRATEGIC DISTRIBUTION4273677
MANDINACH, BARRY MITCHELLEXECUTIVE VICE PRESIDENT1234185
MAROSITS, TIFFANY PAIGEVICE PRESIDENT, SENIOR REGULATORY COUNSEL AND ASSISTANT SECRETARY6507868
PERLMAN, DIANA MARIECHIEF COMPLIANCE OFFICER2555302
PURKALITIS, ANDRA CYNTHIAEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY3070864

Disclosures

Regulatory Event1
Bond3

Red Flags

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Company Information

VP DISTRIBUTORS LLC

CRD#: 3036Chicago, IL 60606

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