AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KP

Kathleen H. Pender

GRV SECURITIES LLC
CHICAGO, IL 60611-6541
Some features on this profile are disabled
CRD#: 5240390
KP

Professional summary

Kathleen Henry Pender, who also goes by Kathleen Mary Henry, Katie Mary Henry, Katie Pender, is a registered financial professional currently at GRV SECURITIES LLC located in Chicago, Illinois.

Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2007. Kathleen has worked at 1 firm and has passed the Series 63, SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathleen Mary Henry | Katie Mary Henry | Katie Pender

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 Kathleen Henry Pender'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 12, 2007 - Present

GRV SECURITIES LLC

Office #1: 900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541Office #2: 900 North Michigan Avenue, Suite 1100, Chicago, IL 60611
BD
CRD#: 138348
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(2/26/2007)
RR
New York
(1/21/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 1/11/2007
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GRV SECURITIES LLC
GROSVENOR SECURITIES LLC | GRV SECURITIES LLC

CRD#: 138348 / SEC#: , 8-67160

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Mailing Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Phone number
(312) 506-6500
Established
Delaware since 08/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GCM GROSVENOR L.P.SOLE MEMBER108654
DANIEL, DAWNA LYNNECHIEF COMPLIANCE OFFICER5137048
HENRICH, DIANNA LEAMANAGING DIRECTOR4695780
MONTGOMERY, BURKE JOHNSONGENERAL COUNSEL5067591
SACKS, MICHAEL JAYMANAGER/CHIEF EXECUTIVE OFFICER2077424
SULLIVAN, KATHLEEN PATRICIAFINANCIAL AND OPERATIONS PRINCIPAL5099521

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.

Company Information

GRV SECURITIES LLC

CRD#: 138348Chicago, IL 60611-6541

TRUST BUT VERIFY

Monitor Kathleen Pender

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.