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Joseph J Grimm

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sarasota, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-08-18
TX RA APPROVED_RES 2010-07-08
CA RA APPROVED 1997-07-08
  • FL RA
    APPROVED
    Since 2016-08-18
  • TX RA
    APPROVED_RES
    Since 2010-07-08
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

1819 Main St, Sarasota, FL 34236 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenbrae CA 08/1992 Present
Bank Of America, N.A. Sarasota FL 07/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-19
S63 Uniform Securities Agent State Law Examination 1992-10-21
  • S65 Uniform Investment Adviser Law Examination
    1995-04-19
  • S63 Uniform Securities Agent State Law Examination
    1992-10-21
Other Names
  • Joseph Chad Grimm
  • Joseph James Grimm

View on SEC IAPD

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