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Inactive

Thomas Utterback Grinnell

Sherpa Financial Guides, Inc.

Crozet, VA

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Current Employers
Sherpa Financial Guides, Inc.

Afton, VA • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2021-06-19
  • VA RA
    APPROVED
    Since 2021-06-19

Branch Locations

Crozet, VA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Bb&T Investment Services, Inc. Charlotte NC 03/2004 01/2018
Bb&T Securities, Llc Charlottesville VA 01/2018 12/2018
Ae Wealth Management, Llc Topeka KS 05/2019 05/2021
Sherpa Financial Guides, Inc. Afton VA 04/2019 Present
Unemployed Charlottesville VA 12/2018 04/2019
  • 03/2004 → 01/2018
    Bb&T Investment Services, Inc.
    Charlotte, NC
  • 01/2018 → 12/2018
    Bb&T Securities, Llc
    Charlottesville, VA
  • 05/2019 → 05/2021
    Topeka, KS
  • 04/2019 → Present
    Afton, VA
  • 12/2018 → 04/2019
    Unemployed
    Charlottesville, VA
Previous Registrations
  • 2021-05-06 → 2021-06-17
    Crozet, VA
    Afton, VA
  • 2019-05-08 → 2021-05-04
    Crozet, VA
    Afton, VA
  • 2018-01-02 → 2018-12-14
    Bb&T Securities, Llc
    Charlottesville, VA
    Lovingston, VA
    Ruckersville, VA
    Charlotte, NC
    Charlottesville, VA
    Virginia Beach, VA
  • 2004-03-22 → 2018-01-02
    Bb&T Investment Services, Inc.
    Afton, VA
    Charlottesville, VA
    Charlottesville, VA
    Lovingston, VA
    Ruckersville, VA
    Scottsville, VA
    Palmyra, VA
    Mineral, VA
    Charlottesville, VA
    Charlottesville, VA
    Charlottesville, VA
    Charlotte, NC
    Mineral, VA
    Lovingston, VA
    Ruckersville, VA
    Fork Union, VA
    Scottsville, VA
    Charlotte, NC
    Charlottesville, VA
    Charlottesville, VA
    Virginia Beach, VA
  • 2002-10-08 → 2003-12-09
    Research Triangle, NC
Other Businesses

1.) SHERPA FINANCIAL GUIDES; YES INVESTMENT RELATED; 171 JOSHUA LANE AFTON, VA 22920; INSURANCE SALES; PARTNER/OWNER; START DATE 04/2018; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-02
  • S66 Uniform Combined State Law Examination
    2002-10-02
Other Names
  • Tug Utterback Grinnell
  • Tug Grinnell

View on SEC IAPD

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