John M. Grund

CLSA AMERICAS

New York, NY 10036

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CRD#: 4904129

Professional summary

John Martin Grund is a registered financial professional currently at CLSA AMERICAS, LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2008. John has worked at 3 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Martin Grund's CRS (Customer Relationship Summary).

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

January 24, 2022 - Present

CLSA AMERICAS, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036

RIA

CRD#: 165533

New York, NY

Past

April 13, 2015 - October 16, 2020

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

PORTLAND, OR

Past

April 23, 2008 - April 13, 2015

PACIFIC CREST SECURITIES LLC

CRD#: 6619

PORTLAND, OR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/25/2022)

Florida
(1/25/2022)

New York
(1/25/2022)

Texas
(1/25/2022)

Virginia
(1/25/2022)

Washington
(1/25/2022)

Exams

State Security Law Exam

Series 63

Date: 4/14/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 6/22/2009

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 6/21/2009

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 4/21/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/2009

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CLSA AMERICAS, LLC

CRD#: 165533 / SEC#: , 8-69166

California

Registered Investment Advisory firm - SEC (1/1/2019 Approved)

Connecticut

Registered Investment Advisory firm - SEC (1/14/2019 Approved)

Texas

Registered Investment Advisory firm - SEC (1/28/2019 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036

Mailing Address

1155 Avenue Of The Americas 17th Floor, New York, NY, 10036

Phone number

(212) 549-5097

Established

Delaware since 08/15/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CLSA AMERICAS HOLDINGS, INC.	MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIE	CCO	2441597
HOLUB, WILLIAM CHARLES	BOARD MEMBER, CFO-FINOP	2680290
PARK, EDWARD	BOARD MEMBER	7550990
SCHWARTZ, BRADLEY HARRIS	BOARD MEMBER, CEO	2372237
ZHANG, HUIZI	BOARD MEMBER	8008880

Red Flags

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John M. Grund

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Martin Grund's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEYBANC CAPITAL MARKETS INC.

PACIFIC CREST SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/14/2008

SIE

Date: 10/1/2018

Series 87

Date: 6/22/2009

Series 86

Date: 6/21/2009

Series 7

Date: 4/21/2008

Series 24

Date: 10/12/2009

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CLSA AMERICAS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CLSA AMERICAS, LLC

TRUST BUT VERIFY

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