Chandler R. Grinnell
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.
Chandler Reid Grinnell, who also goes by Chan R Grinnell, was a registered financial professional .
Chandler is a previously registered financial professional and started their career in finance in 1977. Chandler had worked at 13 firms and has passed the Series 63, SIE, Series 31, Series 15, Series 5, Series 7 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
August 30, 2016 - November 27, 2019
J.P. MORGAN SECURITIES LLC
May 16, 2003 - June 16, 2016
LEERINK PARTNERS LLC
January 3, 2003 - May 20, 2003
OPPENHEIMER & CO. INC.
December 11, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
October 11, 2000 - December 15, 2000
LEHMAN BROTHERS INC.
July 1, 1998 - October 18, 2000
COWEN AND COMPANY
August 10, 1994 - July 1, 1998
FINANCIAL SQUARE PARTNERS
December 12, 1990 - August 10, 1994
GRUNTAL & CO., L.L.C.
June 11, 1990 - December 18, 1990
H.C.WAINWRIGHT & CO., LLC
October 9, 1984 - June 22, 1990
HOMANS, MCGRAW, TRULL, VALEO & CO., INC.
December 30, 1982 - October 17, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
November 28, 1980 - January 13, 1983
J.P. MORGAN SECURITIES LLC
June 23, 1978 - December 12, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 17, 1977 - June 10, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Series 15
Date: 5/29/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/19/1981
Interest Rate Options ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
