AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JG

John J. Grocki

STATE STREET GLOBAL MARKETS
Boston, MA 02114-2016
Some features on this profile are disabled
CRD#: 2723811
JG

Professional summary

John James Grocki is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in Boston, Massachusetts.

John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 7 firms and has passed the Series 63, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 John James Grocki'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

March 27, 2019 - Present

STATE STREET GLOBAL MARKETS, LLC

Office #1: One Congress Street, Suite 1, Boston, MA 02114-2016
BD
CRD#: 285852
Boston, MA
Past

April 30, 2008 - May 2, 2017

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
NEW YORK, NY
Past

February 22, 2008 - April 30, 2008

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

June 30, 2005 - January 2, 2008

BNY INVESTMENT CENTER INC.

BD
CRD#: 47683
NEW YORK, NY
Past

March 12, 2004 - October 9, 2007

BNY TRADING LLC

BD
CRD#: 41410
NEW YORK, NY
Past

November 4, 2003 - May 23, 2005

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

August 3, 1999 - June 23, 2003

GLEACHER PARTNERS LLC

BD
CRD#: 47342
NEW YORK, NY
Past

November 3, 1998 - February 2, 1999

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(3/27/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 3/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/2/2017
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/11/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SS
STATE STREET GLOBAL MARKETS, LLC
STATE STREET GLOBAL MARKETS, LLC | STATE STREET NEWCO, LLC

CRD#: 285852 / SEC#: , 8-69862

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Mailing Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Phone number
(617) 664-3619
Established
Delaware since 10/07/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STATE STREET CORPORATIONPARENT COMPANY
BAMBINO, JOHN JOSEPHCHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER4237874
CHARLAND, JOSEPH LEONARDDIRECTOR5183891
FISCHER, MARTIN ROBERTCHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER1692872
FORTUNA, GREGORY PAULDIRECTOR3168105
MAXHAM, DAVID GOULDDIRECTOR6372664
MCKEON, ROBERT ADIRECTOR7638847
MORGAN, DANIEL ROBERTCHIEF EXECUTIVE OFFICER2743457
SIGLAIN, TARYN ANNDIRECTOR5163466
SOR, LYDIRECTOR7996223
TRABUCCO, MARK RUSSELLCHIEF COMPLIANCE OFFICER4856280

Disclosures

Regulatory Event4

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.

Company Information

STATE STREET GLOBAL MARKETS, LLC

CRD#: 285852Boston, MA 02114-2016

TRUST BUT VERIFY

Monitor John Grocki

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Martin Lee Robbins II
Martin RobbinsAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Norwell, MA
TR
Tamara RoseAdvisorCheck Check Mark
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
RR
BOSTON, MA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.