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Grace A. Ong

GLASFUNDS SECURITIES
CLEVELAND, OH 44114
Some features on this profile are disabled
CRD#: 6401102
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Professional summary

Grace Annrow Ong, who also goes by Grace A Ong, Grace Annrow Ong, Grace Ong, is a registered financial professional currently at GLASFUNDS SECURITIES, LLC located in Cleveland, Ohio.

Grace is registered as a RR (Registered Representative) and started their career in finance in 2014. Grace has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Grace A Ong | Grace Annrow Ong | Grace Ong

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 Grace Annrow Ong'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®
None

Experience

Current

March 10, 2026 - Present

GLASFUNDS SECURITIES, LLC

Office #1: 600 Superior Ave. East, Suite 1510, Cleveland, OH 44114
BD
CRD#: 330074
CLEVELAND, OH
Past

January 9, 2023 - May 20, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
WESTLAKE, OH
Past

December 19, 2022 - May 20, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTLAKE, OH
Past

April 4, 2019 - December 12, 2022

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Orange Village, OH
Past

April 3, 2019 - December 12, 2022

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Orange Village, OH
Past

July 14, 2016 - March 14, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CINCINNATI, OH
Past

July 14, 2016 - March 14, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CINCINNATI, OH
Past

January 22, 2015 - July 1, 2016

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICAGO, IL
Past

December 1, 2014 - July 1, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL

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
Ohio
(3/11/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/22/2015
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 7
Date: 12/1/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GLASFUNDS SECURITIES, LLC
GLASFUNDS SECURITIES, LLC

CRD#: 330074 / SEC#: , 8-71237

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
600 Superior Ave. East Suite 1510, Cleveland, OH 44114
Mailing Address
600 Superior Ave. East Suite 1510, Cleveland, OH 44114
Phone number
(216) 862-1300
Established
Delaware since 11/16/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GLASFUNDS HOLDINGS, LLCSOLE SHAREHOLDER
MARLIN, ROSS EVANCHIEF COMPLIANCE OFFICER6931826
OUDERKIRK, JAMES ERVINPRESIDENT6705992
ROCHE, PASCALFINOP, PFO, POO5920968

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

GLASFUNDS SECURITIES, LLC

CRD#: 330074Cleveland, OH 44114

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