Thomas U. Grinnell
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Utterback Grinnell's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 19, 2021 - Present
SHERPA FINANCIAL GUIDES, INC.
May 6, 2021 - June 17, 2021
AE WEALTH MANAGEMENT, LLC
May 8, 2019 - May 4, 2021
AE WEALTH MANAGEMENT, LLC
January 2, 2018 - December 14, 2018
BB&T SECURITIES, LLC
January 2, 2018 - December 14, 2018
BB&T SECURITIES, LLC
March 22, 2004 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
March 22, 2004 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
October 8, 2002 - December 9, 2003
EQUITABLE ADVISORS, LLC
September 9, 2002 - December 9, 2003
EQUITABLE ADVISORS, LLC
July 15, 2002 - August 2, 2002
IDS LIFE INSURANCE COMPANY
July 15, 2002 - August 2, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/19/2021)
Exams
Current Firm
SHERPA FINANCIAL GUIDES, INC.
CRD#: 314973 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 69 |
| AUM (Assets Under Management) | $ 9,013,140 |
Red Flags
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