Michael J. Grad
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.
Michael Jonathan Grad, who also goes by Michael J Grad, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 7 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
December 3, 2020 - December 31, 2021
CCS TRANSACTIONS, LLC
May 20, 2008 - December 9, 2008
RBS SECURITIES CORPORATION
July 25, 2001 - May 21, 2008
ABN AMRO INCORPORATED
November 3, 2000 - May 10, 2001
UBS SECURITIES LLC
February 23, 1999 - November 3, 2000
UBS FINANCIAL SERVICES INC.
February 27, 1997 - February 12, 1999
J.P. MORGAN SECURITIES LLC
January 3, 1997 - February 14, 1997
SCHRODER & CO. 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 79TO
Date: 12/3/2020
Investment Banking Registered Representative ExaminationCurrent Firm
CCS TRANSACTIONS, LLC
CRD#: 149901 / SEC#: , 8-68203
Contact information
FINRA licenses (10 States and Territories)
Documents
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.
