Frank B. Grinnell

GRINNELL CAPITAL

PARK CITY, UT

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CRD#: 4246539

Professional summary

Frank B Grinnell is a registered financial advisor currently at GRINNELL CAPITAL, LLC located in Park City, Utah.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Frank has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank B Grinnell'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 26, 2021 - Present

GRINNELL CAPITAL, LLC

RIA

CRD#: 311742

PARK CITY, UT

Past

March 23, 2018 - January 13, 2020

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

GREENWOOD VILLAGE, CO

Past

March 20, 2018 - January 13, 2020

MML INVESTORS SERVICES, LLC

CRD#: 10409

GREENWOOD VILLAGE, CO

Past

March 13, 2015 - October 4, 2017

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

DENVER, CO

Past

March 12, 2015 - October 4, 2017

RBC CAPITAL MARKETS, LLC

CRD#: 31194

DENVER, CO

Past

April 18, 2011 - April 17, 2015

TENZING CAPITAL, LLC

RIA

CRD#: 157374

BOISE, ID

Past

June 1, 2009 - November 29, 2010

MORGAN STANLEY

RIA

CRD#: 149777

BOISE, ID

Past

June 1, 2009 - November 29, 2010

MORGAN STANLEY

CRD#: 149777

BOISE, ID

Past

January 3, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BOISE, ID

Past

September 23, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOISE, ID

Past

September 15, 2000 - October 2, 2002

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(2/24/2022)

IAR

Colorado
(12/7/2022)

IAR

Idaho
(2/25/2022)

IAR

Texas
(5/28/2021)

IAR

Utah
(3/26/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/27/2015

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/18/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/12/2015

General Securities Representative Examination

Current Firm

GRINNELL CAPITAL, LLC

D & F INVESTMENT PARTNERS | GRINNELL CAPITAL, LLC | GRINNELL CAPITAL | D & F INVESTMENT PARTNERS, LLC

CRD#: 311742 / SEC#: 801-120358

RIA

Registered Investment Advisory firm - (8/1/2022 Terminated)

California

Registered Investment Advisory firm - (7/28/2022 Approved)

Colorado

Registered Investment Advisory firm - (12/7/2022 Approved)

Idaho

Registered Investment Advisory firm - (7/18/2022 Approved)

Texas

Registered Investment Advisory firm - (4/1/2022 Conditional Restricted)

Utah

Registered Investment Advisory firm - (6/17/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2574 Fairway Village Drive, Park City, UT 84060

Mailing Address

Phone number

(208) 954-0268

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 7,100,000

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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Advisor Monitoring

Firm Stability Insights

Frank B. Grinnell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank B Grinnell's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

TENZING CAPITAL, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2015

Series 65

Date: 12/18/2002

Series 63

Date: 10/12/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/12/2015

Current Firm

GRINNELL CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GRINNELL CAPITAL, LLC

TRUST BUT VERIFY

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