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WD

William J. Dzugan

GRV SECURITIES LLC
CHICAGO, IL 60611-6541
Some features on this profile are disabled
CRD#: 5927615
WD

Professional summary

William Joseph Dzugan, who also goes by William Jospeh Dzugan, William Dzugan, William Joseph Dzugan, is a registered financial professional currently at GRV SECURITIES LLC located in Chicago, Illinois.

William is registered as a RR (Registered Representative) and started their career in finance in 2012. William has worked at 6 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Jospeh Dzugan | William Dzugan | William Joseph Dzugan

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Joseph Dzugan'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

June 23, 2025 - Present

GRV SECURITIES LLC

Office #1: 900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541Office #2: 900 North Michigan Avenue, Suite 1100, Chicago, IL 60611
BD
CRD#: 138348
CHICAGO, IL
Past

May 14, 2021 - May 28, 2025

CAIS CAPITAL LLC

BD
CRD#: 154512
San Francisco, CA
Past

February 22, 2016 - May 6, 2021

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
San Francisco, CA
Past

January 11, 2016 - May 6, 2021

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

October 9, 2013 - January 5, 2016

STEBEN & COMPANY, LLC

BD
CRD#: 117808
GAITHERSBURG, MD
Past

November 5, 2012 - May 24, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

October 3, 2012 - May 24, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

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
Alaska
(6/23/2025)
RR
Arizona
(6/23/2025)
RR
California
(6/23/2025)
RR
Colorado
(6/23/2025)
RR
Hawaii
(6/23/2025)
RR
Idaho
(6/23/2025)
RR
Kansas
(6/23/2025)
RR
Montana
(6/23/2025)
RR
Nevada
(6/23/2025)
RR
New Mexico
(6/23/2025)
RR
Oregon
(6/23/2025)
RR
Utah
(6/23/2025)
RR
Washington
(6/23/2025)
RR
Wyoming
(6/23/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/19/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/24/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GRV SECURITIES LLC
GROSVENOR SECURITIES LLC | GRV SECURITIES LLC

CRD#: 138348 / SEC#: , 8-67160

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Mailing Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Phone number
(312) 506-6500
Established
Delaware since 08/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GCM GROSVENOR L.P.SOLE MEMBER108654
DANIEL, DAWNA LYNNECHIEF COMPLIANCE OFFICER5137048
HENRICH, DIANNA LEAMANAGING DIRECTOR4695780
MONTGOMERY, BURKE JOHNSONGENERAL COUNSEL5067591
SACKS, MICHAEL JAYMANAGER/CHIEF EXECUTIVE OFFICER2077424
SULLIVAN, KATHLEEN PATRICIAFINANCIAL AND OPERATIONS PRINCIPAL5099521

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.

Company Information

GRV SECURITIES LLC

CRD#: 138348Chicago, IL 60611-6541

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