Thomas U. Grinnell

SHERPA FINANCIAL GUIDES

Crozet, VA

Some features on this profile are disabled

CRD#: 4540693

Professional summary

Thomas Utterback Grinnell, who also goes by Tug Utterback Grinnell, Tug Grinnell, is a registered financial advisor currently at SHERPA FINANCIAL GUIDES, INC. located in Crozet, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Thomas has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tug Utterback Grinnell | Tug Grinnell

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.

1.) SHERPA FINANCIAL GUIDES; YES INVESTMENT RELATED; 171 JOSHUA LANE AFTON, VA 22920; INSURANCE SALES; PARTNER/OWNER; START DATE 04/2018; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Utterback Grinnell's 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

June 19, 2021 - Present

SHERPA FINANCIAL GUIDES, INC.

RIA

CRD#: 314973

Crozet, VA

Past

May 6, 2021 - June 17, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

CROZET, VA

Past

May 8, 2019 - May 4, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

AFTON, VA

Past

January 2, 2018 - December 14, 2018

BB&T SECURITIES, LLC

RIA

CRD#: 142785

CHARLOTTESVILLE, VA

Past

January 2, 2018 - December 14, 2018

BB&T SECURITIES, LLC

CRD#: 142785

CHARLOTTESVILLE, VA

Past

March 22, 2004 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CHARLOTTESVILLE, VA

Past

March 22, 2004 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTESVILLE, VA

Past

October 8, 2002 - December 9, 2003

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

RESEARCH TRIANGLE, NC

Past

September 9, 2002 - December 9, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 15, 2002 - August 2, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 15, 2002 - August 2, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Virginia
(6/19/2021)

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: 10/2/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2002

General Securities Representative Examination

Current Firm

SHERPA FINANCIAL GUIDES, INC.

CRD#: 314973 / SEC#:

Virginia

Registered Investment Advisory firm - (6/19/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Afton, VA

Mailing Address

Phone number

(434) 882-1011

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	62
AUM (Assets Under Management)	$ 5,918,107

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas U. Grinnell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Utterback Grinnell's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

AE WEALTH MANAGEMENT, LLC

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2002

SIE

Date: 10/1/2018

Series 7

Date: 7/12/2002

Current Firm

SHERPA FINANCIAL GUIDES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHERPA FINANCIAL GUIDES, INC.

TRUST BUT VERIFY

Similar Advisors