Thomas C. Grassi
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.
Thomas Curtin Grassi was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 16 firms and has passed the Series 66, Series 63, Series 7TO, 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
June 5, 2020 - January 13, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 16, 2016 - June 5, 2018
TRUIST ADVISORY SERVICES, INC.
December 3, 2014 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
December 2, 2014 - June 5, 2018
TRUIST INVESTMENT SERVICES, INC.
November 13, 2009 - December 3, 2014
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - December 3, 2014
PNC WEALTH MANAGEMENT LLC
January 9, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
January 6, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
April 24, 2007 - December 26, 2008
DAWSON JAMES ASSET MANAGEMENT, INC.
January 5, 2007 - December 26, 2008
DAWSON JAMES SECURITIES, INC.
May 18, 2004 - January 5, 2007
B. RILEY WEALTH ADVISORS, INC.
January 26, 2004 - January 5, 2007
NATIONAL SECURITIES CORPORATION
February 5, 2003 - February 19, 2004
SUMMIT FINANCIAL GROUP INC
February 3, 2003 - February 19, 2004
SUMMIT BROKERAGE SERVICES, INC.
January 2, 2001 - February 18, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 2, 2001 - February 18, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 17, 1997 - January 2, 2001
JWGENESIS SECURITIES, INC.
March 20, 1997 - October 23, 1997
FAIRCHILD FINANCIAL GROUP, INC.
December 9, 1996 - March 20, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
March 4, 1996 - December 4, 1996
BILTMORE SECURITIES, INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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.
