John E. Grimes
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.
John Edward Grimes JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2012 - December 10, 2013
GCP SECURITIES, LLC
July 22, 2011 - September 20, 2024
KROLL SECURITIES LLC
July 24, 1998 - June 6, 2012
GCP SECURITIES, INC.
March 2, 1998 - July 23, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 9, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
GCP SECURITIES, LLC
CRD#: 161596 / SEC#: , 8-69047
Contact information
Documents
Red Flags
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