DG
Douglas E. Grau
INFINITY FINANCIAL SERVICES ADVISORY
Brentwood, TN 37027
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CRD#: 5736878
DG
Professional summary
Douglas E Grau, who also goes by Doug Grau, Douglas Edward Grau, is a registered financial advisor currently at INFINITY FINANCIAL SERVICES ADVISORY located in Brentwood, Tennessee and INFINITY FINANCIAL SERVICES located in Brentwood, Tennessee.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Douglas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Grau | Douglas Edward Grau
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. American Rebel, Inc., Not investment related, 909 18th Avenue S, Suite A, Nashville, TN 37212, Operations, 1/2008, 100 hours per month, 50 during trading hours, assist the founder and CEO with operational support in all areas. 2. Grau & Associates, LLC dba Yell Records, Not investment related, 159 Michael John Dr, Park Ridge, IL 60068, Manager, 1/2003, 4 hours per month, 1 during trading hours, maintain inventory and provide operational support. 3. Insurance, Investment related, 412 Dahila Dr, Brentwood, TN 37027, 1/2010, Licensed Agent, 3 hours per month, 1 during trading hours, Life & Health assisting clients with life insurance and annuities. 4. Music Royalties, Not investment related, 412 Dahila Dr, Brentwood, TN 37027, Owner, 1/1994, 1 hours per month, zero during trading hours, collect royalties from work done years ago. 5. Rental Property, Not investment related, 4630 Little Texas Lane, Thompson Station, TN 37179, Owner, 1/2000, 1 hours per month, zero during trading hours, Maintain the property and collect rent.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas E Grau'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®
NoneExperience
Current
April 18, 2020 - Present
INFINITY FINANCIAL SERVICES ADVISORY
Office #1: 5115 Maryland Way, Brentwood, TN 37027RIA
CRD#: 304981
Brentwood, TN
Current
January 5, 2017 - Present
INFINITY FINANCIAL SERVICES
Office #1: 5115 Maryland Way, Brentwood, TN 37027BD
CRD#: 144302
Brentwood, TN
Past
January 10, 2017 - December 31, 2020
INFINITY FINANCIAL SERVICES
RIA
CRD#: 144302
OAKLAND, CA
Past
October 18, 2016 - October 24, 2016
INFINITY FINANCIAL SERVICES
RIA
CRD#: 144302
OAKLAND, CA
Past
October 18, 2016 - October 24, 2016
INFINITY FINANCIAL SERVICES
BD
CRD#: 144302
OAKLAND, CA
Past
June 15, 2012 - January 20, 2017
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
BRENTWOOD, TN
Past
June 13, 2012 - January 20, 2017
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
BRENTWOOD, TN
Past
January 20, 2010 - June 14, 2012
EDWARD JONES
RIA
CRD#: 250
NASHVILLE, TN
Past
January 5, 2010 - June 14, 2012
EDWARD JONES
BD
CRD#: 250
NASHVILLE, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC
CRD#: 304981 / SEC#: 801-117719
RIA
Registered Investment Advisory firm - (12/5/2019 Approved)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.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
Alabama(8/9/2018)
RR
Florida(1/5/2017)
RR
Hawaii(1/5/2017)
RR
Illinois(1/5/2017)
RR
Kansas(1/5/2017)
RR
Ohio(1/5/2017)
RR
Rhode Island(3/4/2025)
IAR
Tennessee(4/29/2020)
RR
Tennessee(1/19/2021)
RR
Wisconsin(1/5/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC
CRD#: 304981 / SEC#: 801-117719
RIA
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Contact information
Main Address
212 9th Street Suite 202, Oakland, CA 94607
Mailing Address
Phone number
(510) 588-8000
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 918 |
| AUM (Assets Under Management) | $ 150,097,662 |
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.
