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GL

Grant Frank La Count

CRD# 6333845·Registered 2017 - 2021
Previously Registered: Being a previously registered professional could mean that Grant 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.

Professional Summary

Grant Frank La Count was a registered financial advisor. Grant was a previously registered financial professional and started their career in finance 2017 - 2021. Grant had worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

9 years in the financial services industry

Current & Past Employments

HOULIHAN LOKEY ADVISORS, LLC·CRD# 127835
BD
San Francisco, CA
June 27, 2018 - May 17, 2021
B. RILEY SECURITIES, INC.·CRD# 25027
BD
Los Angeles, CA
November 30, 2017 - June 13, 2018
B. RILEY & CO., LLC·CRD# 40355
BD
Los Angeles, CA
March 22, 2017 - November 30, 2017

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Current Firm

HL
HOULIHAN LOKEY ADVISORS, LLC

GCA ADVISORS, LLC | SILVER CREEK CAPITAL ADVISORS, LLC | SAVVIAN ADVISORS, LLC | PERSEUS ADVISORS, LLC | HOULIHAN LOKEY ADVISORS, LLC | GCA SAVVIAN ADVISORS, LLC

CRD#: 127835 / SEC#: 8-66065
BD
Terminated by SEC on 05/28/2024

Contact Information

Established

Delaware since 03/19/2003

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
GCA SAVVIAN, INC.PARENT COMPANY—
AARON, STEVEN ROSSCHIEF COMPLIANCE OFFICER1298072
BALDWIN, GEOFFREY DUFFCO-CEO1500281
CARTER, TODD JOHNCO-CEO—
LAMBROS, JOHN FORTUNEPRESIDENT2368612
TANIGUCHI, EDWARD NEALCHIEF FINANCIAL OFFICER4632869

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2018About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 79 — Investment Banking Registered Representative Examination

Passed Mar 2017About the Series 79 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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