Joseph G. Grobbel

TOUCHSTONE ADVISORS

CINCINNATI, OH 45202-4203

Some features on this profile are disabled

CRD#: 6348114

Professional summary

Joseph Gerard Grobbel, CFP®, CIMA®, who also goes by Jack Gerard Grobbel, is a registered financial advisor currently at TOUCHSTONE ADVISORS INC located in Cincinnati, Ohio and TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Joseph has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack Gerard Grobbel

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.

Provide business-to-business marketing and solicitation activities to downstream intermediaries regarding Separately Managed Accounts and Model Portfolio Delivery options of select advisers contracted with Touchstone Securities. Approximately two hours per business week during trading hours, compensated via an override as percentage of management fee.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Gerard Grobbel's 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®

CFP^®

Certified Financial Planner

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 7, 2019 - Present

TOUCHSTONE ADVISORS INC

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202-4203

RIA

CRD#: 107028

CINCINNATI, OH

Current

August 31, 2017 - Present

TOUCHSTONE SECURITIES, INC.

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202

CRD#: 1526

CINCINNATI, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(5/7/2019)

Delaware
(11/21/2017)

District of Columbia
(11/21/2017)

Florida
(8/31/2017)

Maryland
(11/21/2017)

Michigan
(12/6/2022)

Ohio
(8/31/2017)

IAR

Ohio
(1/7/2019)

Puerto Rico
(8/31/2017)

Virginia
(11/21/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/20/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/11/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/31/2017

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

303 Broadway Suite 1100, Cincinnati, OH 45202-4203

Mailing Address

Phone number

(513) 362-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 29,132,797,072

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.

Similar Advisors

Jamie Powell

CAPITAL ADVISORY SERVICES, LLC

IAR

West Chester, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph G. Grobbel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Gerard Grobbel's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOUCHSTONE SECURITIES, INC.

Primary Firm SEC Registration

TOUCHSTONE ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/20/2019

Series 63

Date: 9/21/2017

Series 7TO

Date: 11/11/2019

SIE

Date: 10/1/2018

Series 6

Date: 8/31/2017

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

TOUCHSTONE ADVISORS INC

TRUST BUT VERIFY

Similar Advisors