Joann Grasso
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.
Joann Grasso was a registered financial professional .
Joann is a previously registered financial professional and started their career in finance in 1998. Joann had worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2008 - August 1, 2019
COOKSON PEIRCE WEALTH MANAGEMENT
May 13, 1999 - March 7, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 13, 1999 - March 7, 2000
OSAIC FA, INC.
October 14, 1998 - February 16, 1999
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
COOKSON PEIRCE WEALTH MANAGEMENT
CRD#: 110729 / SEC#: 801-21341
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
COOKSON PEIRCE WEALTH MANAGEMENT
CRD#: 110729 / SEC#: 801-21341
Contact information
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,347 |
| AUM (Assets Under Management) | $ 2,323,321,323 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 12/28/2023 | ||
| 01/31/2023 |
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.
