Joseph M. Grim

ADVANCED PLANNING

Greenville, SC 29607-1360

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CRD#: 5545016

Professional summary

Joseph Montgomery Grim III, who also goes by Joseph M Grim III, Joseph Montgomery Grim III, is a registered financial advisor currently at ADVANCED PLANNING, INC. located in Greenville, South Carolina and CETERA WEALTH SERVICES, LLC located in Greenville, South Carolina.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Joseph has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph M Grim Iii | Joseph Montgomery Grim Iii

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) NAME OF OTHER BUSINESS: ADVANCED PLANNING, INC- CRD#158753; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY SERVICES; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE ; START DATE: 03/2013; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT; (2) NAME OF OTHER BUSINESS: ADVANCED PLANNING, INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL ; START DATE: 03/2013; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Montgomery Grim III'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

March 28, 2013 - Present

ADVANCED PLANNING, INC.

Office #1: 1520 E. North Street, Greenville, SC 29607-1360

RIA

CRD#: 158753

Greenville, SC

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1520 E. North Street, Greenville, SC 29607

CRD#: 13572

Greenville, SC

Past

September 5, 2012 - March 28, 2013

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

GREENVILLE, SC

Past

January 26, 2011 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

GREENVILLE, SC

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.

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

IAR

North Carolina
(8/26/2013)

IAR

South Carolina
(3/28/2013)

South Carolina
(9/20/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ADVANCED PLANNING, INC.

CRD#: 158753 / SEC#:

North Carolina

Registered Investment Advisory firm - (8/22/2013 Approved)

South Carolina

Registered Investment Advisory firm - (1/11/2013 Approved)

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Contact information

Main Address

1520 E. North Street, Greenville, SC 29607-1360

Mailing Address

Phone number

(864) 242-1914

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	389
AUM (Assets Under Management)	$ 42,685,746

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.

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Joseph M. Grim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Montgomery Grim III's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVANCED PLANNING, INC.

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2012

Series 63

Date: 6/27/2011

SIE

Date: 10/1/2018

Series 7

Date: 1/24/2011

FINRA

Current Firm

ADVANCED PLANNING, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADVANCED PLANNING, INC.

TRUST BUT VERIFY

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