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JG

John Henry Grady Jr.

CRD# 4431440·Registered 2001 - 2015
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Henry Grady JR., who also goes by John H. Grady, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 2001 - 2015. John had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John H. Grady

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

25 years in the financial services industry

Current & Past Employments

REALTY CAPITAL SECURITIES, LLC·CRD# 145454
BD
New York, NY
October 25, 2012 - December 18, 2015
STEBEN & COMPANY, LLC·CRD# 117808
BD
Rockville, MD
January 4, 2010 - October 19, 2012
B. RILEY WEALTH MANAGEMENT·CRD# 2543
BD
Memphis, TN
February 17, 2009 - December 7, 2009
NATIONWIDE FUND DISTRIBUTORS LLC·CRD# 25910
BD
West Conshohocken, PA
December 20, 2006 - January 31, 2008
CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.·CRD# 40644
BD
Jenkintown, PA
September 21, 2001 - June 26, 2006

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Current Firm

RC
REALTY CAPITAL SECURITIES, LLC

RC SECURITIES | REALTY CAPITAL SECURITIES, LLC

CRD#: 145454 / SEC#: 8-67727
BD
Terminated by SEC on 03/22/2016

Contact Information

Established

Delaware since 08/29/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
RCS CAPITAL HOLDINGS, LLCMEMBER—
BEATON, DANIEL STEWARTFINOP4240769
ROUND, JENNIFER MARIECOO4192006
SHUCKEROW, MICHAEL JOSEPH JR.CHIEF COMPLIANCE OFFICER5159095

Disclosures

Regulatory Event

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2015About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Feb 2010About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Sep 2001About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2001About the Series 24 exam

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CRS (Client Relationship Summary)

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

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