FV
Frederic Van Der Grift
Some features on this profile are disabled
CRD#: 6513929
FV
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.
Frederic Van Der Grift, CFP®, who also goes by Frederic Rosengarten Van Der Grift, Frederic Van Der Grift, Frederic Vandergrift, was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 2015. Frederic had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frederic Rosengarten Van Der Grift | Frederic Van Der Grift | Frederic Vandergrift
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.
I*122650 For-Profit Organization Name: J&F Restaurant Partners LLC Investment related: Y Address: West Palm Beach, Florida 33480 Nature: LLC,Position: Limited Partner, Start: 5/9/2017 hours: 0 hour(s) Annually trading hours: 0 Duties: This is an LLC that I jointly own with my wife in which we own 1% of Bolay 10 Investors LLC, a restaurant concept. I*122625 Non-Profit Organization Name: Hanley Foundation Investment related: N Address: West Palm Beach, Florida 33401 Nature: Charitable Organization, Position: Director, Start: 3/1/2019 Hours: 10 hour(s) Quarterly Trading hours: 0 Duties: Hanley Foundations mission is to provide substance abuse prevention and education programs for parents, caregivers and school-age children. In addition, the foundation provides financial aid scholarships for people needing treatment. I*122649 For-Profit Organization Name: Papa V Holdings LLC Investment related: Y Address: West Palm each, Florida 33405 Nature: LLC, Position: Limited Partner, Start date: 6/7/2018 Hours: 0 hour(s) Annually Trading hours: 0 Duties: The LLC is jointly owned by myself and my father. It is used as a vehicle to invest in Jefferson Genesys Fund, LP, a cryptocurrency fund.I*128416 For-Profit Organization Name: VDG Partners LLC Investment related: Y Address:Lewes, Delaware 19958 Nature: LLC, Position: General Partner, Start date: 12/12/2019 Hours: 1 hour(s) Quarterly Trading hours: 0 Duties: My mother is setting up a LP that will be comprised of an LLC as the GP. I will be a member of that LLC. I*128415 For-Profit organization Name: Jovan Holdings, LP Investment related: Y Address: Lewes, Delaware 19958 Nature: Limited Partnership, Position: Limited Partner, Start date of relationship: 12/12/2019 Hours: 1 hour(s) Quarterly Trading Hours: 0 Duties: I will be a limited partner in my mother's limited partnership. I*129032 For-Profit Organization Name: Neighborhood Road LLC Investment related: N Address: Northeast Harbor, Maine 04662 Nature: LLC Position: Officer Start: 1/10/2020 Hours: 10 hour(s) Annually, Trading hours: 0 Duties: The entity "Neighborhood Road LLC" is jointly owned by myself and my wife for the purposes of owning a vacation property in Maine. We will rent the property occasionally during the summer. I*129701 Non-Profit Organization Name: The Leukemia & Lymphoma Society Investment related: N Address: West Palm Beach, Florida 33407 Nature: Charitable Organization, Position: Committee Member, Start: 2/7/20 hours devoted: 2 hour(s) Monthly trading hours: 0 Duties: Golf committee - help get players and people to attend the event through purchasing foursomes and sponsorships. I*132166For profit or not for profit: For-Profit Organization Name: 212 East Lakewood LLC Investment related: Y Address: West Palm Beach, Florida 33405 Nature of business: LLC, Position, title, association: Other, manager of llc Start date of relationship: 7/13/2020 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: This is a parcel of land that I am personally buying for my family. I am putting the land in an LLC while the home is being built. I*549290 For profit or not for profit: Entity For Profit Name of outside business organization: The Milner Insurance Group LLC Investment related: N Address of business: North Palm Beach, Florida, 33408 Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 10/15/2021Number of hours devoted: 0 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: Investor, Investor
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
April 15, 2019 - August 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PALM BEACH, FL
Past
April 12, 2019 - August 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PALM BEACH, FL
Past
September 28, 2015 - April 17, 2019
MORGAN STANLEY
RIA
CRD#: 149777
WEST PALM BEACH, FL
Past
September 4, 2015 - April 17, 2019
MORGAN STANLEY
BD
CRD#: 149777
WEST PALM BEACH, FL
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".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
