Grant F. Kuphall

SEARLE & CO.

CHICAGO, IL

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CRD#: 860032

Professional summary

Grant Frederick Kuphall is a registered financial advisor currently at SEARLE & CO. located in Chicago, Illinois.

Grant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Grant has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 24 and Series 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grant Frederick Kuphall's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Grant Frederick Kuphall's CRS (Customer Relationship Summary).

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

February 7, 2003 - Present

SEARLE & CO.

RIA

CRD#: 13035

CHICAGO, IL

Current

November 27, 2001 - Present

SEARLE & CO.

Office #1: 333 Greenwich Ave, Greenwich, CT 06830

RIA

CRD#: 13035

Greenwich, CT

Past

December 12, 2000 - December 6, 2001

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

May 19, 1995 - January 12, 1999

HUNTINGTON SECURITIES, INC.

CRD#: 2261

COLUMBUS, OH

Past

December 3, 1987 - January 11, 1995

MORGAN STANLEY MARKET PRODUCTS INC.

CRD#: 19794

NEW YORK, NY

Past

November 16, 1987 - April 4, 1995

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 27, 1978 - November 10, 1987

SALOMON BROTHERS INC.

CRD#: 740

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".

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/2/2010)

Colorado
(2/2/2010)

Connecticut
(11/27/2001)

IAR

Connecticut
(2/7/2003)

Illinois
(1/29/2002)

IAR

Illinois
(7/7/2021)

New York
(11/27/2001)

Tennessee
(1/26/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/9/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/4/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/18/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/20/1996

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/11/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/14/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

333 Greenwich Ave., Greenwich, CT 06830

Mailing Address

333 Greenwich Ave., Greenwich, CT 06830

Phone number

(203) 869-4800

Established

Connecticut since 11/22/1982

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SEARLE & CO. FORM ADV PART 2A: DISCLOSURE BROCHURE (11/27/2024)

Direct owners and executive officers

Name	Position	CRD#
SEARLE, ROBERT SOUTHWORTH	PRESIDENT/CHIEF COMPLIANCE OFFICER, CFO	839312
COOK, THADDEUS SAJOUS	VICE PRESIDENT	856315
PETERS, KAREN LYNN	FIN OP	2080613

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 648,957,944

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Grant F. Kuphall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grant Frederick Kuphall's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Grant Frederick Kuphall's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEARLE & CO.

THE ADVISORS GROUP, INC.

HUNTINGTON SECURITIES, INC.

MORGAN STANLEY MARKET PRODUCTS INC.

MORGAN STANLEY & CO. LLC

SALOMON BROTHERS INC.

Primary Firm SEC Registration

SEARLE & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/9/2001

Series 63

Date: 8/8/1980

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 3

Date: 6/4/1985

Series 7

Date: 11/18/1978

Series 53

Date: 5/20/1996

Series 24

Date: 9/11/1995

Series 8

Date: 12/14/1992

FINRA

Current Firm

SEARLE & CO.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SEARLE & CO.

TRUST BUT VERIFY

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