HG
Harold F. Grubbs
FINANCIAL MANAGEMENT
LITTLE ROCK, AR 72211
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CRD#: 708166
HG
Professional summary
Harold Franklin Grubbs is a registered financial advisor currently at FINANCIAL MANAGEMENT, INC. located in Little Rock, Arkansas.
Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Harold has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
EARTH SCIENCE LABORATORIES, INC. AT 113 SE 22ND STREET, BENTONVILLE, AR 72712. THIS COMPANY PRODUCES ENVIRONMENTALLY RESPONSIBLE PRODUCTS ADDRESSING SOLUTIONS FOR MANY FACETS OF WATER USAGE. THE NATURE OF THE BUSINESS IS NOT INVESTMENT-RELATED. MR. GRUBBS HAS HELD THE POSITION OF BOARD MEMBER SINCE 3/1/1992 DEVOTING NOT MORE THAN TWO HOURS PER MONTH TO THIS ACTIVITY. THE TIME SPENT EACH MONTH DOES OCCUR DURING SECURITIES TRADING HOURS.
BRUSH MOUNTAIN CONSTRUCTION, NOT INVESTMENT RELATED, 8309 TOLTEC DRIVE, NORTH LITTLE ROCK, AR 72116, STARTED IN APRIL 2020, SELLS AIR PURIFICATION PRODUCTS, DEVOTES APPROXIMATELY 4 HOURS PER MONTH, TIME OCCURS BOTH DURING AND AFTER SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Harold Franklin Grubbs'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®
NoneExperience
Current
January 28, 1987 - Present
FINANCIAL MANAGEMENT, INC.
Office #1: 10809 Executive Center Drive Suite 204, Little Rock, AR 72211RIA
CRD#: 108350
LITTLE ROCK, AR
Past
April 7, 2003 - December 31, 2004
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
November 26, 2002 - March 18, 2003
HFG INVESTMENT GROUP, LLC
BD
CRD#: 122445
LITTLE ROCK, AR
Past
October 11, 2000 - June 30, 2005
PINNACLE ASSET MANAGEMENT, LLC
RIA
CRD#: 109236
LITTLE ROCK, AR
Past
July 16, 1997 - August 27, 2002
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
July 23, 1993 - August 9, 1995
EQUITY CAPITAL CORPORATION
BD
CRD#: 13203
LITTLE ROCK, AR
Past
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 19, 1989 - July 1, 1993
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
October 12, 1982 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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".
FM
FINANCIAL MANAGEMENT, INC.
FINANCIAL MANAGEMENT INC | FINANCIAL MANAGEMENT, INC.
CRD#: 108350 / SEC#: 801-126707
RIA
Registered Investment Advisory firm - (10/11/2022 Approved)Alabama
Registered Investment Advisory firm - (12/5/2022 Terminated)Arkansas
Registered Investment Advisory firm - (12/5/2022 Terminated)Indiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Louisiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/23/2019 Terminated)South Carolina
Registered Investment Advisory firm - (12/5/2022 Terminated)Texas
Registered Investment Advisory firm - (12/5/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arkansas(1/28/1987)
IAR
Indiana(1/14/2016)
IAR
Louisiana(7/22/2019)
IAR
Texas(1/2/1996)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/21/1980
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
FM
FINANCIAL MANAGEMENT, INC.
FINANCIAL MANAGEMENT INC | FINANCIAL MANAGEMENT, INC.
CRD#: 108350 / SEC#: 801-126707
RIA
Registered Investment Advisory firm - (10/11/2022 Approved)Alabama
Registered Investment Advisory firm - (12/5/2022 Terminated)Arkansas
Registered Investment Advisory firm - (12/5/2022 Terminated)Indiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Louisiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/23/2019 Terminated)South Carolina
Registered Investment Advisory firm - (12/5/2022 Terminated)Texas
Registered Investment Advisory firm - (12/5/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4007 N. Rodney Parham Road, Little Rock, AR 72212
Mailing Address
P. O. Box 17590, Little Rock, AR 72222-7590
Phone number
(501) 227-7400
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 356 |
| AUM (Assets Under Management) | $ 181,181,011 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FINANCIAL MANAGEMENT, INC.
CRD#: 108350Little Rock, AR 72211TRUST BUT VERIFY
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