Vincent P. Grimaldi

CETERA INVESTMENT ADVISERS LLC

FRAMINGHAM, MA 01701

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CRD#: 3028787

Professional summary

Vincent Paul Grimaldi is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Framingham, Massachusetts and CETERA ADVISORS LLC located in Framingham, Massachusetts.

Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Vincent has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 04/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES AND LONG TERM CARE 2.NAME OF OTHER BUSINESS: NORTHEAST INVESTMENT ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2018 POSITION/TITLE/RELATIONSHIP: VP, FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVICE AND INSURANCE PLANNING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Paul Grimaldi's CRS (Customer Relationship Summary).

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 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 40 Speen Street Suite 202, Framingham, MA 01701

RIA

CRD#: 105644

FRAMINGHAM, MA

Current

April 10, 2018 - Present

CETERA ADVISORS LLC

Office #1: 40 Speen Street Suite 202, Framingham, MA 01701

CRD#: 10299

Framingham, MA

Past

April 10, 2018 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

June 3, 2016 - April 10, 2018

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

CRANSTON, RI

Past

June 3, 2016 - April 10, 2018

CITIZENS SECURITIES, INC.

CRD#: 39550

CRANSTON, RI

Past

February 24, 2015 - June 3, 2016

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

WESTPORT, MA

Past

February 23, 2015 - June 3, 2016

SANTANDER SECURITIES LLC

CRD#: 41791

WESTPORT, MA

Past

December 8, 2009 - February 5, 2015

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

FRAMINGHAM, MA

Past

December 4, 2009 - February 5, 2015

INVESTORS CAPITAL CORP.

CRD#: 30613

FRAMINGHAM, MA

Past

October 3, 2007 - December 16, 2009

B.B. GRAHAM & COMPANY, INC.

RIA

CRD#: 41533

FRAMINGHAM, MA

Past

September 12, 2007 - December 16, 2009

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

FRAMINGHAM, MA

Past

December 12, 2006 - September 20, 2007

FIRST MIDAMERICA INVESTMENT CORPORATION

CRD#: 104476

FRAMINGHAM, MA

Past

October 26, 2004 - October 30, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

PROVIDENCE, RI

Past

October 20, 2004 - October 30, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

PROVIDENCE, RI

Past

June 29, 2004 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

May 28, 2002 - July 6, 2004

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

July 31, 1999 - May 16, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 3, 1998 - June 17, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 3, 1998 - June 17, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(4/10/2018)

Massachusetts
(4/10/2018)

IAR

Massachusetts
(3/21/2024)

New Hampshire
(9/21/2020)

New York
(4/10/2018)

Pennsylvania
(2/10/2022)

Rhode Island
(4/10/2018)

IAR

Rhode Island
(3/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/28/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/28/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/2/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Vincent P. Grimaldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Paul Grimaldi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

B.B. GRAHAM & COMPANY, INC.

B.B. GRAHAM & COMPANY, INC.

FIRST MIDAMERICA INVESTMENT CORPORATION

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

CITIZENS SECURITIES, INC.

MORGAN STANLEY DW INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/2004

Series 63

Date: 5/8/1998

SIE

Date: 10/1/2018

Series 31

Date: 7/28/1999

Series 7

Date: 6/2/1998

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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