Joanna E. Grabala
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.
Joanna Ewa Grabala, who also goes by Joanna E Grabala, was a registered financial professional .
Joanna is a previously registered financial professional and started their career in finance in 2012. Joanna had worked at 3 firms and has passed the Series 65, 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
December 8, 2022 - September 22, 2023
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
March 30, 2021 - December 15, 2022
NEXTCAPITAL ADVISERS
February 15, 2013 - May 21, 2020
EQUITABLE ADVISORS, LLC
August 23, 2012 - May 21, 2020
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
CRD#: 107738 / SEC#: 801-37591
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
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
CRD#: 107738 / SEC#: 801-37591
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 220,874 |
| AUM (Assets Under Management) | $ 2,064,742,622,313 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
