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SG

Stefan B. Grimbacher

GORDON DYAL & CO.
New York, NY 10019
Some features on this profile are disabled
CRD#: 6675847
SG

Professional summary

Stefan B Grimbacher is a registered financial professional currently at GORDON DYAL & CO., LLC located in New York, New York.

Stefan is registered as a RR (Registered Representative) and started their career in finance in 2016. Stefan has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Stefan B Grimbacher'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

January 7, 2021 - Present

GORDON DYAL & CO., LLC

Office #1: 152 West 57th Street 39th Floor, New York, NY, 10019Office #2: 152 West 57th Street 39th Floor, New York, NY, 10019
BD
CRD#: 284175
New York, NY
Past

November 16, 2016 - December 31, 2020

PERELLA WEINBERG PARTNERS LP

BD
CRD#: 138618
Los Angeles, CA

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
New York
(1/7/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/4/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/16/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GD
GORDON DYAL & CO., LLC
DYAL CO. LLC | GORDON DYAL & CO., LLC | DYAL CO., LLC

CRD#: 284175 / SEC#: , 8-69791

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
152 West 57th Street 39th Floor, New York, NY, 10019
Mailing Address
152 West 57th Street 39th Floor, New York, NY, 10019
Phone number
(212) 321-4010
Established
Delaware since 05/25/2015
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GORDON DYAL & CO. ADVISORY GROUP, LLCMEMBER
DYAL, GORDON ERIKFOUNDING PARTNER, PRESIDENT, CEO, CCO1754008
DYAL, JILL AXELRODCOO, CFO, AMLCO, EXECUTIVE REP3104227
MATTERA, RICHARD JOSEPHFINOP2246513

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

GORDON DYAL & CO., LLC

CRD#: 284175New York, NY 10019

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