Carl J. Grilli
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.
Carl John Grilli, AIF® was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1995. Carl had worked at 12 firms and has passed the Series 65, Series 63, SIE 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 13, 2018 - November 23, 2022
LPL FINANCIAL LLC
April 12, 2018 - November 23, 2022
LPL FINANCIAL LLC
October 3, 2016 - December 31, 2017
CETERA ADVISORS LLC
October 3, 2016 - December 31, 2017
CETERA ADVISORS LLC
May 7, 2014 - October 3, 2016
INVESTORS CAPITAL CORP.
May 6, 2014 - October 3, 2016
INVESTORS CAPITAL CORP.
February 9, 2012 - January 2, 2014
ESSEX NATIONAL SECURITIES, LLC
February 8, 2012 - January 2, 2014
ESSEX NATIONAL SECURITIES, LLC
December 19, 2006 - February 7, 2012
BANCWEST INVESTMENT SERVICES, INC.
December 19, 2006 - February 7, 2012
BANCWEST INVESTMENT SERVICES, INC.
April 6, 2005 - December 15, 2006
CITICORP INVESTMENT SERVICES
April 6, 2005 - December 15, 2006
CITICORP INVESTMENT SERVICES
August 27, 2002 - April 7, 2005
WELLS FARGO INVESTMENTS, LLC
August 27, 2002 - April 7, 2005
WELLS FARGO INVESTMENTS, LLC
January 1, 1999 - September 3, 2002
WAMU INVESTMENTS, INC.
March 3, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
April 29, 1997 - March 7, 1998
FIMCO SECURITIES GROUP, INC.
January 1, 1996 - April 18, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 12, 1995 - March 25, 1996
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
