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David Alberto Grijalva

CRD# 5168589·Registered 2006 - 2023
Previously Registered: Being a previously registered professional could mean that David 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.

Professional Summary

David Alberto Grijalva was a registered financial advisor. David was a previously registered financial professional and started their career in finance 2006 - 2023. David had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

20 years in the financial services industry

Current & Past Employments

SIERRA PACIFIC SECURITIES, LLC·CRD# 155160
BD
Woodland Hills, CA
August 4, 2014 - January 5, 2023
B. RILEY WEALTH MANAGEMENT·CRD# 2543
RIA
Woodland Hills, CA
February 7, 2014 - July 31, 2014
B. RILEY WEALTH MANAGEMENT·CRD# 2543
BD
Woodland Hills, CA
February 7, 2014 - July 31, 2014
MANHATTAN INVESTMENT MANAGEMENT SERVICES INC·CRD# 155098
RIA
Woodland Hills, CA
June 23, 2011 - August 1, 2014
BANC OF MANHATTAN CAPITAL·CRD# 149880
BD
Woodland Hills, CA
February 8, 2010 - March 19, 2014
COUNTRYWIDE SECURITIES CORPORATION·CRD# 10598
BD
Calabasas, CA
August 25, 2006 - February 8, 2008

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Current Firm

SP
SIERRA PACIFIC SECURITIES, LLC

SIERRA PACIFIC SECURITIES, LLC

CRD#: 155160 / SEC#: 8-68700
BD
Terminated by SEC on 09/17/2024

Contact Information

Established

Nevada since 07/16/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
STIFEL FINANCIAL CORP.SHAREHOLDER—
MARINO, JAMES ANTHONYPRINCIPAL FINANCIAL OFFICER5049527
RUBULOTTA, DAVID THOMASMANAGER, CCO2060274

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2010About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2006About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2006About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2017About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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