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MG

Mark J. Grome

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CRD#: 7123593
MG

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.

Mark Joseph Grome, who also goes by Mark Joseph Grome, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2019. Mark had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Joseph Grome

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

January 16, 2024 - November 18, 2025

AW SECURITIES

BD
CRD#: 103747
FOLSOM, CA
Past

January 10, 2024 - March 28, 2025

AW SECURITIES

RIA
CRD#: 103747
Cincinnatti, OH
Past

January 9, 2024 - November 18, 2025

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
Cincinnatti, OH
Past

April 9, 2021 - June 5, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
FLORENCE, KY
Past

March 11, 2021 - June 5, 2023

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FLORENCE, KY
Past

September 11, 2019 - March 11, 2020

EDWARD JONES

RIA
CRD#: 250
CINCINNATI, OH
Past

July 12, 2019 - March 11, 2020

EDWARD JONES

BD
CRD#: 250
CINCINNATI, OH

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
RR
IAR
Series 66
Date: 9/9/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/12/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/18/2019
Securities Industry Essentials Examination

Current Firm

AS
AW SECURITIES
AW SECURITIES | PATHWAY RETIREMENT NETWORK | HANSON MCCLAIN SECURITIES | HANSON MCCLAIN RETIREMENT NETWORK, LP | HANSON MCCLAIN RETIREMENT NETWORK, LLC | HANSON MCCLAIN RETIREMENT NETWORK, L.P. | HANSON MCCLAIN

CRD#: 103747 / SEC#: 801-69038, 8-52250

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Mailing Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Phone number
(916) 482-2196
Established
Delaware since 10/26/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
10

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/17/2025)

Direct owners and executive officers

NamePositionCRD#
ALLWORTH FINANCIAL GROUP, L.P.GENERAL PARTNER
BEATON, DANIEL STEWARTFINOP4240769
ERICKSON, RICHARD JOHNDIRECTOR OF INVESTMENT OPERATIONS2704674
FRIZE, BERNARD JOSEPH JRCHIEF COMPLIANCE OFFICER - BD2366022
GAMBLE, COREY CCHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO4919573
GREENBERG, BARRY YALECHIEF LEGAL COUNSEL5863733
GRIGSBY, GARY LAWSONCEO3167632

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

AW SECURITIES

CRD#: 103747

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