Grady K. Cool

COOL WEALTH MANAGEMENT

TEMPE, AZ 85281

Some features on this profile are disabled

CRD#: 7121615

Professional summary

Grady Kay Cool, who also goes by Grady Kay Cool, Grady Cool, is a registered financial advisor currently at COOL WEALTH MANAGEMENT located in Tempe, Arizona.

Grady is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Grady has worked at 4 firms and has passed the Series 66, Series 63, Series 3, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Grady Kay Cool | Grady Cool

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.

Grady Kay Cool is owner and an independent licensed insurance agent with Cool Wealth Management Insurance LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grady Kay Cool'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 2, 2025 - Present

COOL WEALTH MANAGEMENT

Office #1: 398 S Mill Ave Unit 205, Tempe, AZ 85281

RIA

CRD#: 333281

TEMPE, AZ

Past

August 7, 2023 - January 6, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SCOTTSDALE, AZ

Past

August 4, 2023 - January 6, 2025

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 29, 2022 - April 13, 2023

MORGAN STANLEY

RIA

CRD#: 149777

GILBERT, AZ

Past

March 4, 2022 - April 13, 2023

MORGAN STANLEY

CRD#: 149777

GILBERT, AZ

Past

September 9, 2021 - March 1, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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

Arizona
(1/2/2025)

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 66

Date: 3/21/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/20/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/19/2024

National Commodity Futures Examination

General Industry/Product Exam

Series 7TO

Date: 9/9/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/20/2021

Securities Industry Essentials Examination

Current Firm

COOL WEALTH MANAGEMENT

COOL WEALTH MANAGEMENT | COOL WEALTH MANAGEMENT LLC

CRD#: 333281 / SEC#:

Arizona

Registered Investment Advisory firm - (1/2/2025 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

398 S Mill Ave Unit 205, Tempe, AZ 85281

Mailing Address

Phone number

(623) 986-1793

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Grady K. Cool

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grady Kay Cool's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

MORGAN STANLEY

MORGAN STANLEY

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 3/21/2022

Series 63

Date: 9/20/2021

Series 3

Date: 10/19/2024

Series 7TO

Date: 9/9/2021

SIE

Date: 3/20/2021

Current Firm

COOL WEALTH MANAGEMENT

Contact information

Documents

Red Flags

Company Information

COOL WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors