David C. Grados
Professional summary
David C Grados, who also goes by David Grados, is a registered financial advisor currently at PGIM INVESTMENTS LLC located in Los Angeles, California and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Valley Village, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. David has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David C Grados's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 20, 2017 - Present
PGIM INVESTMENTS LLC
March 13, 2017 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 28, 2016 - February 27, 2017
MORGAN STANLEY
March 11, 2016 - February 27, 2017
MORGAN STANLEY
April 1, 2015 - October 13, 2015
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/16/2020)
(3/13/2017)
(3/20/2017)
Exams
FINRA
Current Firm
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 322,085,635,448 |
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.
