Spencer B. 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.
Spencer Bennett Grimes was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 1997. Spencer had worked at 7 firms and has passed the Series 63, 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
September 28, 2012 - April 21, 2016
SCARSDALE EQUITIES LLC
April 12, 2007 - October 1, 2012
MERRIMAN CAPITAL, INC.
February 16, 2005 - August 1, 2005
THE SHEMANO GROUP, INC.
April 4, 2001 - November 21, 2003
MORGAN STANLEY DW INC.
March 1, 2001 - November 21, 2003
MORGAN STANLEY DW INC.
February 1, 2000 - February 26, 2001
J.P. MORGAN SECURITIES INC.
May 27, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
October 14, 1997 - May 12, 1999
A. G. EDWARDS & SONS, 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
Current Firm
SCARSDALE EQUITIES LLC
CRD#: 134602 / SEC#: , 8-66845
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
