Joseph M. Grella

AMERICAN RETIREMENT & INVESTMENT STRATEGIES

GLOUCESTER, MA

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CRD#: 4560190

Professional summary

Joseph Matthew Grella, CFP® is a registered financial advisor currently at AMERICAN RETIREMENT & INVESTMENT STRATEGIES, LLC located in Gloucester, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Joseph has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Name of other business: N/A Investment Related: Yes insurance products Address: 14 Fleetwoods Drive, Gloucester, MA 01930 Nature of Business: Insurance Sales Position: Agent Relationship: Owner Start Date: 5/1/2006 Hours/Months: 2 - 4 Hours per month average During security trading Hours: None Duties: Solicit insurance products for clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Matthew Grella'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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

May 10, 2006 - Present

AMERICAN RETIREMENT & INVESTMENT STRATEGIES, LLC

RIA

CRD#: 139482

GLOUCESTER, MA

Past

April 13, 2006 - December 31, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

GLOUCESTER, MA

Past

September 5, 2003 - April 27, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WALTHAM, MA

Past

October 7, 2002 - September 15, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Florida
(4/11/2023)

IAR

Massachusetts
(5/10/2006)

IAR

New Hampshire
(4/22/2013)

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: 9/24/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/5/2002

General Securities Representative Examination

Current Firm

AMERICAN RETIREMENT & INVESTMENT STRATEGIES, LLC

CRD#: 139482 / SEC#: 801-66357

RIA

Registered Investment Advisory firm - (8/7/2006 Terminated)

Florida

Registered Investment Advisory firm - (4/11/2023 Approved)

Georgia

Registered Investment Advisory firm - (3/18/2022 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/3/2006 Approved)

New Hampshire

Registered Investment Advisory firm - (4/22/2013 Approved)

Rhode Island

Registered Investment Advisory firm - (3/7/2016 Approved)

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).

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Contact information

Main Address

Gloucester, MA

Mailing Address

Phone number

(978) 283-1011

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	499
AUM (Assets Under Management)	$ 96,063,001

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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Joseph M. Grella

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Matthew Grella's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN RETIREMENT & INVESTMENT STRATEGIES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2002

Series 7

Date: 9/5/2002

Current Firm

AMERICAN RETIREMENT & INVESTMENT STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AMERICAN RETIREMENT & INVESTMENT STRATEGIES, LLC

TRUST BUT VERIFY

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