Michael S. Grodsky

AQUARIUS FINANCIAL

Santa Fe, NM

Some features on this profile are disabled

CRD#: 5278789

Professional summary

Michael Steven Grodsky is a registered financial advisor currently at AQUARIUS FINANCIAL located in Santa Fe, New Mexico.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Michael has worked at 3 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.

1. AQUARIUS INSURANCE SERVICES. NOT INVESTMENT-RELATED. SAME ADDRESS AS AQUARIUS FINANCIAL. INDEPENDENT INSURANCE BROKER WITH LIFE & HEALTH LICENSING. SOLE PROPRIETOR. START DATE 01/2007. APPROXIMATELY 75% OF WORKING HOURS (15/week) ARE DEVOTED TO THIS BUSINESS. 2. KALEIDOSPACE, LLC. NOT INVESTMENT-RELATED. PO BOX 5458, SANTA MONICA, CA 90409. I AM 3% LIMITED PARTNER. NOT ACTIVELY INVOLVED IN MANAGEMENT OF THIS BUSINESS. KALEIDOSPACE PROMOTES THE WORK OF INDEPENDENT MUSICIANS, ARTISTS, GAME DEVELOPERS. NO HOURS DEVOTED TO THIS BUSINESS. NO DUTIES. START DATE: 1996.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Grodsky'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®

None

Experience

Current

September 14, 2011 - Present

AQUARIUS FINANCIAL

RIA

CRD#: 157425

Santa Fe, NM

Past

November 20, 2007 - March 29, 2011

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

WOODLAND HILLS, CA

Past

November 20, 2007 - March 29, 2011

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

WOODLAND HILLS, CA

Past

June 19, 2007 - November 20, 2007

OSAIC SERVICES, INC.

CRD#: 133763

WOODLAND HILLS, CA

Past

June 18, 2007 - November 20, 2007

OSAIC SERVICES, INC.

RIA

CRD#: 133763

WOODLAND HILLS, CA

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

California
(9/14/2011)

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: 6/11/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/14/2007

General Securities Representative Examination

Current Firm

AQUARIUS FINANCIAL

AQUARIUS FINANCIAL | GRODSKY, MICHAEL STEVEN

CRD#: 157425 / SEC#:

California

Registered Investment Advisory firm - (9/14/2011 Approved)

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

Santa Fe, NM

Mailing Address

Phone number

(323) 293-6800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael S. Grodsky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Grodsky's CRS (Customer Relationship Summary).

Certified licenses

Experience

AQUARIUS FINANCIAL

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/11/2007

Series 7

Date: 5/14/2007

Current Firm

AQUARIUS FINANCIAL

Contact information

Documents

Red Flags

Company Information

AQUARIUS FINANCIAL

TRUST BUT VERIFY

Similar Advisors