Adam J. Grell
Professional summary
Adam Jeffrey Grell is a registered financial professional currently at FIS BROKERAGE & SECURITIES SERVICES LLC located in Bolingbrook, Illinois.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2013. Adam has worked at 11 firms and has passed the Series 66, Series 99TO, Series 50, SIE, Series 52, Series 7, Series 54, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Jeffrey Grell's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2021 - Present
FIS BROKERAGE & SECURITIES SERVICES LLC
Office #1: 270 Remington Blvd. Suite A, Bolingbrook, IL 60440November 4, 2020 - November 1, 2021
PTMA INVESTMENT ADVISORS
November 4, 2020 - November 1, 2021
PMA SECURITIES, LLC
March 2, 2018 - October 27, 2020
CETERA INVESTMENT ADVISERS LLC
July 10, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
July 10, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
July 10, 2015 - October 26, 2017
SUMMIT BROKERAGE SERVICES, INC.
July 10, 2015 - October 26, 2017
GIRARD SECURITIES, INC.
April 3, 2015 - October 26, 2017
CETERA ADVISORS LLC
April 3, 2015 - October 27, 2020
CETERA FINANCIAL SPECIALISTS LLC
November 14, 2013 - October 26, 2017
CETERA WEALTH SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/4/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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