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Phillip B. Gronniger

THORNBURG INVESTMENT MANAGEMENT
Castle Rock, CO
Some features on this profile are disabled
CRD#: 3040375
PG

Professional summary

Phillip B Gronniger, who also goes by Phillip Brent Gronniger, is a registered financial advisor currently at THORNBURG INVESTMENT MANAGEMENT INC located in Castle Rock, Colorado and THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Phillip has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Phillip Brent Gronniger

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip B Gronniger'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

February 6, 2026 - Present

THORNBURG INVESTMENT MANAGEMENT INC

RIA
CRD#: 106357
Castle Rock, CO
Current

April 2, 2025 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506
BD
CRD#: 14857
Santa Fe, NM
Past

November 10, 2010 - February 11, 2025

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

November 28, 2006 - August 24, 2010

FCI ADVISORS

RIA
CRD#: 106398
KANSAS CITY, MO

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".
TI
THORNBURG INVESTMENT MANAGEMENT INC
THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA
Registered Investment Advisory firm - (10/15/1982 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.
RR
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

RR
Colorado
(4/2/2025)
IAR
Colorado
(2/6/2026)
IAR
New Mexico
(2/9/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/5/2026
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/28/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TI
THORNBURG INVESTMENT MANAGEMENT INC
THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA
Registered Investment Advisory firm - (10/15/1982 Approved)
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Contact information

Main Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Mailing Address
Phone number
(505) 467-7283
Established
Firm type
Fiscal year end
# of Employees
219

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE MARCH 31, 2022 (3/28/2025)

Regulatory assets under management

Total Number of Accounts705
AUM (Assets Under Management)$ 45,288,445,586

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.

Company Information

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357Castle Rock, CO

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