Grant L. Rippetoe
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.
Grant Lee Rippetoe, who also goes by Grant Rippetoe, was a registered financial professional .
Grant is a previously registered financial professional and started their career in finance in 1995. Grant had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 55, Series 3 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2014 - December 15, 2020
CREDIT SUISSE SECURITIES (USA) LLC
July 16, 1999 - November 2, 1999
CSFP CAPITAL, INC.
May 14, 1999 - August 9, 2006
CREDIT SUISSE SECURITIES (USA) LLC
March 21, 1999 - May 1, 1999
DB ALEX. BROWN LLC
April 11, 1995 - October 21, 1997
DB ALEX. BROWN LLC
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 55
Date: 6/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
