Michael Grimmer

Some features on this profile are disabled

CRD#: 6760927

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.

Michael Grimmer was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2017. Michael had worked at 3 firms and has passed the Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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®

None

Experience

Past

March 19, 2025 - April 1, 2025

IEQ CAPITAL, LLC

RIA

CRD#: 301819

Reno, NV

Past

May 17, 2021 - February 28, 2025

EPIQ CAPITAL GROUP, LLC

RIA

CRD#: 292526

RENO, NV

Past

October 6, 2017 - March 6, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Reno, NV

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".

IEQ CAPITAL, LLC

EPIQ CAPITAL GROUP, LLC | IEQ CAPITAL, LLC

CRD#: 301819 / SEC#: 801-115278

RIA

Registered Investment Advisory firm - (5/14/2019 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/28/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/2017

General Securities Representative Examination

Current Firm

IEQ CAPITAL, LLC

EPIQ CAPITAL GROUP, LLC | IEQ CAPITAL, LLC

CRD#: 301819 / SEC#: 801-115278

RIA

Registered Investment Advisory firm - (5/14/2019 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

950 Tower Lane Suite 1800, Foster City, CA 94404

Mailing Address

Phone number

(650) 581-9807

Established

Firm type

Fiscal year end

# of Employees

222

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IEQ - FORM ADV PART2A - OCTOBER 2025 (10/30/2025)

Regulatory assets under management

Total Number of Accounts	1,963
AUM (Assets Under Management)	$ 35,380,260,418

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/30/2023	Cover Page	Report
01/18/2023	Cover Page	Report

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael Grimmer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IEQ CAPITAL, LLC

EPIQ CAPITAL GROUP, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

IEQ CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/28/2021

SIE

Date: 10/1/2018

Series 7

Date: 10/6/2017

Current Firm

IEQ CAPITAL, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

IEQ CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors