Janet S. Grimm

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CRD#: 4382659

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.

Janet Sarah Grimm, CFP®, who also goes by Janet S Smith Douglas, Janet Sarah Douglas, Jan S Grimm, Janet Sarah Smith, Janet Sarah Smith-douglas, was a registered financial professional .

Janet is a previously registered financial professional and started their career in finance in 2001. Janet had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Janet S Smith Douglas | Janet Sarah Douglas | Jan S Grimm | Janet Sarah Smith | Janet Sarah Smith-Douglas

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Past

October 27, 2021 - May 24, 2024

RIVERWATER PARTNERS LLC

RIA

CRD#: 283540

Hartland, WI

Past

May 1, 2020 - September 9, 2021

A.G.P. / ALLIANCE GLOBAL PARTNERS

RIA

CRD#: 8361

Hartland, WI

Past

May 1, 2020 - September 9, 2021

A.G.P. / ALLIANCE GLOBAL PARTNERS

CRD#: 8361

Hartland, WI

Past

January 8, 2016 - May 18, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

IXONIA, WI

Past

January 8, 2016 - May 18, 2020

LPL FINANCIAL LLC

CRD#: 6413

IXONIA, WI

Past

December 16, 2013 - December 22, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WAUKESHA, WI

Past

December 16, 2013 - December 22, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WAUKESHA, WI

Past

December 9, 2009 - December 9, 2013

WINTRUST INVESTMENTS LLC

RIA

CRD#: 875

HARTLAND, WI

Past

January 28, 2008 - December 9, 2013

WINTRUST INVESTMENTS LLC

CRD#: 875

HARTLAND, WI

Past

May 27, 2004 - January 29, 2008

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

WAUKESHA, WI

Past

September 18, 2003 - May 28, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

April 23, 2001 - September 5, 2003

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

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".

RIVERWATER PARTNERS LLC

RIVERWATER BLUE | RIVERWATER PARTNERS, LLC | RIVERWATER PARTNERS LLC

CRD#: 283540 / SEC#: 801-117635

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (11/25/2019 Terminated)

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/7/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/19/2001

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: 4/1/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RIVERWATER PARTNERS LLC

RIVERWATER BLUE | RIVERWATER PARTNERS, LLC | RIVERWATER PARTNERS LLC

CRD#: 283540 / SEC#: 801-117635

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (11/25/2019 Terminated)

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Contact information

Main Address

1433 N. Water Street Suite 303, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 858-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIVERWATER PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	190
AUM (Assets Under Management)	$ 600,209,973

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/20/2026	Cover Page	Report
10/11/2024	Cover Page	Report
06/02/2023	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

Janet S. Grimm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

A.G.P. / ALLIANCE GLOBAL PARTNERS

A.G.P. / ALLIANCE GLOBAL PARTNERS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WINTRUST INVESTMENTS LLC

WINTRUST INVESTMENTS LLC

ROBERT W. BAIRD & CO. INCORPORATED

MONY SECURITIES CORPORATION

KESTRA INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

RIVERWATER PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/7/2009

Series 63

Date: 9/19/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/1/2004

Series 6

Date: 4/20/2001

Current Firm

RIVERWATER PARTNERS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RIVERWATER PARTNERS LLC

TRUST BUT VERIFY

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