Adam D. Och
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.
Adam Daniel Och, who also goes by Adam Och, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2011. Adam had worked at 3 firms and has passed the Series 66 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
January 29, 2013 - April 3, 2013
GRIMES & COMPANY
November 15, 2012 - April 2, 2013
NEWEDGE SECURITIES, LLC
September 24, 2011 - June 18, 2012
MORGAN STANLEY
August 25, 2011 - June 18, 2012
MORGAN STANLEY
Primary Firm SEC Registration
GRIMES & COMPANY
CRD#: 109420 / SEC#: 801-57193
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
GRIMES & COMPANY
CRD#: 109420 / SEC#: 801-57193
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,415 |
| AUM (Assets Under Management) | $ 5,592,556,041 |
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.
