Michael J. Grimm

MADISON AVENUE SECURITIES

Dallas, TX 75214

Some features on this profile are disabled

CRD#: 5907581

Professional summary

Michael Joseph Grimm, who also goes by Michael J Grimm, is a registered financial professional currently at MADISON AVENUE SECURITIES, LLC located in Dallas, Texas.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Michael J Grimm

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: The Wingard Group DBA Wayfinder Group; Address: 7324 Gaston Avenue, Suite 124312, Dallas, TX 75214; Investment Related: Yes; Position: Senior Planner; Duties: Providing holistic financial planning and investment advice to Wayfinder clients in my capacity as Senior Planner; Hours Per Week: 40 Hours; Start Date: 9/9/2024; 2.) Name: Csenge Advisory Group; Address: 4755 East Bay Drive, Clearwater, FL 33764; Investment Related: Yes; Position: Investment Advisor Representative; Duties: Back Office, Placing Trades, Monitoring Models, and Updating Models; Hours Per Week: 10 Hours; Start Date: 9/6/2024

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Grimm'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

October 1, 2024 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 6301 Gaston Avenue #1125, Dallas, TX 75214

RIA

CRD#: 23224

Dallas, TX

Past

October 11, 2024 - July 31, 2026

CSENGE ADVISORY GROUP, LLC

RIA

CRD#: 131167

DALLAS, TX

Past

December 7, 2020 - September 19, 2024

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Westlake, TX

Past

December 7, 2020 - September 19, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

February 26, 2013 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

LEWISVILLE, TX

Past

April 18, 2011 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

LEWISVILLE, TX

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".

MADISON AVENUE SECURITIES, LLC

ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA

Registered Investment Advisory firm - SEC (2/24/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

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

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

Texas
(10/1/2024)

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 65

Date: 2/25/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/29/2011

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: 11/26/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/16/2011

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MADISON AVENUE SECURITIES, LLC

ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA

Registered Investment Advisory firm - SEC (2/24/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

13500 Evening Creek Dr N #555, San Diego, CA 92128

Mailing Address

13500 Evening Creek Dr N #555, San Diego, CA 92128

Phone number

(858) 207-1300

Established

Delaware since 05/05/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MADISON AVENUE SECURITIES FORM ADV PART 2A 3-26-2025 (10/3/2025)

MADISON AVENUE SECURITIES WRAP PROGRAM BROCHURE 3-26-2025 (10/3/2025)

Direct owners and executive officers

Name	Position	CRD#
KT EQUITY PARTNERS II, LLC	DIRECT OWNER
CALLANAN, DAVID JAMES	MANAGER	4237166
FIXSEN, VILAYPHONE	CHIEF OPERATING OFFICER	4585926
JENSEN, GAIL MARIE	DEPUTY CHIEF COMPLIANCE OFFICER	1943705
MCNEES, MARTIN WILLIAM	PRESIDENT	3168410
PIERSON, MELISSA KAY	CHIEF COMPLIANCE OFFICER	1685017
WOODS, SANDRA ANN	FINOP	6200533

Regulatory assets under management

Total Number of Accounts	14,100
AUM (Assets Under Management)	$ 2,038,801,712

Disclosures

Regulatory Event	8
Arbitration	1

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

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

RICHARDSON, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

Dallas, TX

Adam Gelmon

STEWARD PARTNERS INVESTMENT ADVISORY, LLC

IAR

Dallas, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Grimm

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Grimm's CRS (Customer Relationship Summary).

Certified licenses

Experience

CSENGE ADVISORY GROUP, LLC

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Primary Firm SEC Registration

MADISON AVENUE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/2013

Series 63

Date: 4/29/2011

SIE

Date: 10/1/2018

Series 7

Date: 11/26/2012

Series 6

Date: 4/16/2011

FINRA

Current Firm

MADISON AVENUE SECURITIES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MADISON AVENUE SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors