Christopher J. Grimo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher J Grimo, who also goes by Christopher James Grimo, Christopher Grimo, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2011. Christopher had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2017 - August 11, 2020
TD AMERITRADE, INC.
March 27, 2017 - August 11, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 24, 2017 - August 11, 2020
TD AMERITRADE, INC.
June 10, 2016 - December 9, 2016
INVESCO ADVISERS, INC.
June 1, 2016 - December 9, 2016
INVESCO DISTRIBUTORS, INC.
May 21, 2012 - May 26, 2016
MFS INSTITUTIONAL ADVISORS INC.
May 14, 2012 - May 26, 2016
MFS FUND DISTRIBUTORS, INC.
November 30, 2011 - May 1, 2012
LPL FINANCIAL LLC
October 12, 2011 - May 1, 2012
LPL FINANCIAL 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
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
