Brandon H. Grubbs
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.
Brandon Heath Grubbs was a registered financial professional .
Brandon is a previously registered financial professional and started their career in finance in 1998. Brandon had worked at 4 firms and has passed the Series 65, Series 63 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
November 23, 2009 - January 3, 2025
FINANCIAL MANAGEMENT, INC.
December 19, 2002 - February 6, 2003
HFG INVESTMENT GROUP, LLC
October 11, 2000 - February 3, 2003
PINNACLE ASSET MANAGEMENT, LLC
March 16, 1999 - February 3, 2003
FINANCIAL MANAGEMENT, INC.
February 2, 1998 - December 31, 2002
THE LEADERS GROUP, INC.
Primary Firm SEC Registration
FINANCIAL MANAGEMENT, INC.
CRD#: 108350 / SEC#: 801-126707
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
FINANCIAL MANAGEMENT, INC.
CRD#: 108350 / SEC#: 801-126707
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 356 |
| AUM (Assets Under Management) | $ 181,181,011 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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