Scott R. Grimsley
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.
Scott Ryan Grimsley, who also goes by Ryan Grimsley, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 8 firms and has passed the Series 63, Series 66, Series 57TO, SIE, Series 55, Series 79, Series 7, Series 25 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2020 - February 17, 2022
ELEVATION, LLC
June 23, 2014 - December 2, 2019
ROSENBLATT SECURITIES INC.
December 7, 2011 - July 16, 2014
STAR MOUNTAIN ADVISORS, LLC
October 9, 2008 - February 9, 2010
COHEN CAPITAL GROUP, LLC
January 25, 2007 - September 2, 2008
AGS SPECIALISTS II, LLC
July 12, 2006 - February 7, 2007
AGS SPECIALISTS LLC
September 26, 2003 - November 28, 2005
AGS SPECIALISTS LLC
July 23, 2001 - July 2, 2002
RAYMOND JAMES & ASSOCIATES, INC.
December 6, 1999 - March 30, 2001
LABRANCHE & CO. LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/8/2012
Limited Representative-Equity Trader ExamSeries 25
Date: 3/23/2000
NYSE Trading Assistant ExaminationCurrent Firm
ELEVATION, LLC
CRD#: 140341 / SEC#: , 8-67306
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHEEHAN, PATRICK JAMES | MANAGING MEMBER | 2053134 |
| SARAH TRENT HARRIS IRREVOCABLE FAMILY TRUST | PASSIVE INVESTOR | |
| BARTON ASSET MANAGEMENT, LLC | PASSIVE INVESTOR | |
| CARTER III, WARREN SMOOT | PARTNER | 6751824 |
| HARRIS, MATTHEW CARTER | TRUSTEE | 6178227 |
| LUCAS, CLAIRE TOURNE | PASSIVE INVESTOR | |
| LUCAS, HAINES DEMAREST | PASSIVE INVESTOR | |
| LUCAS, JOSIAH CHARLES TRENT | TRUSTEE | 6178218 |
| PEAK6 INVESTMENTS, L.P. | PASSIVE INVESTOR | |
| PETERSON, KELSEY CARL III | REGISTERED OPTIONS PRINCIPAL | 6684459 |
| SHEEHAN, JOHN MICHAEL BYRNE | PARTNER, CEO | 2272269 |
| SILVER, SCOTT MICHAEL | CHIEF COMPLIANCE OFFICER - CCO | 2290261 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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