George F. Grimes
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.
George Frithiof Grimes, who also goes by Geroge Frithiof Grimes, George Frithiof Grims, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1980. George had worked at 12 firms and has passed the Series 63, Series 87, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2014 - February 7, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
June 13, 2011 - January 15, 2014
CAROLINA FINANCIAL SECURITIES, LLC
July 7, 2009 - June 3, 2011
NOBLE CAPITAL MARKETS, INC.
July 21, 2008 - May 4, 2009
JESUP & LAMONT SECURITIES CORP
June 18, 2007 - June 20, 2008
SMITH, MOORE & CO.
July 19, 1999 - March 13, 2006
A. G. EDWARDS & SONS, INC.
May 21, 1997 - February 3, 1999
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 5, 1996 - May 13, 1997
ROTH CAPITAL PARTNERS, LLC
October 3, 1994 - July 25, 1995
NATWEST SECURITIES CORPORATION
October 14, 1992 - August 30, 1994
CIBC WORLD MARKETS CORP.
March 4, 1982 - October 21, 1992
KIDDER, PEABODY & CO. INCORPORATED
October 23, 1980 - March 12, 1982
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
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.
