WG
William C. Grimes
FORGE SECURITIES LLC
New York, NY 10012
Some features on this profile are disabled
CRD#: 5909538
WG
Professional summary
William Charles Grimes, who also goes by Charlie Grimes, is a registered financial professional currently at FORGE SECURITIES LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 2011. William has worked at 2 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charlie Grimes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view William Charles Grimes'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
May 19, 2014 - Present
FORGE SECURITIES LLC
Office #1: 114 Crosby Street Floor 5, New York, NY 10012Office #2: 4 Embarcadero Center Suite 1500, San Francisco, CA 94111BD
CRD#: 134596
New York, NY
Past
May 13, 2011 - February 14, 2014
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(2/21/2019)
RR
Alaska(10/10/2021)
RR
Arizona(6/1/2020)
RR
Arkansas(10/10/2021)
RR
California(5/19/2014)
RR
Colorado(7/18/2014)
RR
Connecticut(5/21/2014)
RR
Delaware(10/27/2014)
RR
District of Columbia(7/29/2014)
RR
Florida(5/21/2014)
RR
Georgia(1/3/2019)
RR
Hawaii(10/10/2021)
RR
Idaho(10/10/2021)
RR
Illinois(5/19/2014)
RR
Indiana(10/10/2021)
RR
Iowa(10/10/2021)
RR
Kansas(7/29/2014)
RR
Kentucky(12/20/2018)
RR
Louisiana(7/18/2014)
RR
Maine(10/10/2021)
RR
Maryland(4/5/2017)
RR
Massachusetts(5/21/2014)
RR
Michigan(10/10/2021)
RR
Minnesota(1/25/2016)
RR
Mississippi(7/29/2014)
RR
Missouri(1/3/2019)
RR
Montana(10/10/2021)
RR
Nebraska(10/10/2021)
RR
Nevada(5/21/2014)
RR
New Hampshire(11/4/2019)
RR
New Jersey(5/21/2014)
RR
New Mexico(10/10/2021)
RR
New York(5/19/2014)
RR
North Carolina(9/17/2014)
RR
North Dakota(10/10/2021)
RR
Ohio(7/21/2014)
RR
Oklahoma(10/10/2021)
RR
Oregon(10/10/2021)
RR
Pennsylvania(8/1/2016)
RR
Puerto Rico(10/10/2021)
RR
Rhode Island(7/7/2017)
RR
South Carolina(10/10/2021)
RR
South Dakota(10/10/2021)
RR
Tennessee(10/10/2021)
RR
Texas(5/21/2014)
RR
Utah(5/10/2021)
RR
Vermont(10/10/2021)
RR
Virgin Islands(10/10/2021)
RR
Virginia(5/21/2014)
RR
Washington(5/21/2014)
RR
West Virginia(10/10/2021)
RR
Wisconsin(10/10/2021)
RR
Wyoming(10/27/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FORGE SECURITIES LLC
FORGE SECURITIES LLC | SHARESPOST FINANCIAL CORPORATION | PERLINSKI & ASSOCIATES
CRD#: 134596 / SEC#: , 8-66846
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Mailing Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Phone number
(800) 279-7754
Established
Delaware since 06/03/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
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.
