John L. Gramata
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.
John Lopez Gramata was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2018 - April 15, 2026
DIMENSIONAL FUND ADVISORS LP
October 18, 2018 - April 15, 2026
DFA SECURITIES LLC
August 3, 2012 - October 1, 2018
SEI INVESTMENTS DISTRIBUTION CO.
June 8, 2012 - October 1, 2018
SEI INVESTMENTS MANAGEMENT CORP
July 12, 2011 - May 25, 2012
NORTHERN TRUST SECURITIES, INC.
October 19, 2010 - February 24, 2011
ALTERNATIVE WEALTH STRATEGIES, INC.
February 2, 2010 - July 26, 2011
MANAGED SOLUTIONS
August 1, 2008 - October 9, 2008
ASSETMARK, INC.
November 5, 2007 - October 9, 2008
CAPITAL BROKERAGE CORPORATION
July 17, 2006 - July 31, 2008
GENWORTH FINANCIAL ASSET MANAGEMENT, INC
November 8, 2005 - November 5, 2007
CETERA FINANCIAL SPECIALISTS LLC
July 21, 2003 - December 4, 2003
MMC SECURITIES LLC
Primary Firm SEC Registration
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
Red Flags
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