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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-04-21
TX RA APPROVED_RES 2017-03-29
  • CA RA
    APPROVED
    Since 2025-04-21
  • TX RA
    APPROVED_RES
    Since 2017-03-29

Branch Locations

800 N Western Ave, San Pedro, CA 90732 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Penniall & Asssociates Pasadena CA 07/2015 03/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Manhattan Beach CA 03/2017 Present
Bank Of America, N.A. Manhattan Beach CA 03/2017 Present
Previous Registrations
  • 2015-07-22 → 2017-03-23
    Bridge Advisory Llc
    Pasadena, CA
  • 2011-07-15 → 2015-07-16
    F500 Advisory Services, Inc.
    Newport Beach, CA
    Long Beach, CA
  • 2008-07-09 → 2010-03-30
    Gunnallen Financial, Inc
    Tampa, FL
    Hydesville, CA
  • 2005-09-26 → 2008-03-13
    Wamu Investments, Inc.
    Eureka, CA
    Arcata, CA
    Crescent City, CA
    Eureka, CA
  • 2003-04-02 → 2005-08-23
    Morgan Stanley Dw Inc.
    Eureka, CA
Other Businesses

I*7776For profit or not for profit: Name of outside business organization: Ronald GrimmInvestment related: Address of business:Long Beach, California 90815Nature of business: ,Position, title, association: , Start date of relationship: 3/8/2019Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-02-17
  • S66 Uniform Combined State Law Examination
    2003-02-17
Other Names
  • Ronald Grimm
  • Ronald Joseph Grimm

View on SEC IAPD

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