Ronald Grimm

CRD 4596343 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Pedro, CA

IA RegisteredBroker

Also appears in the source record as: Ronald Joseph Grimm; Ronald Grimm

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66SIESeries 31Series 7
Registered states (9): Arizona · California · Florida · Hawaii · Massachusetts · Nevada · Oregon · Texas · Washington
Years in the industry (source record): 23
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4596343 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Pedro, CA · IA capacity

Mar 28, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Pedro, CA · BC capacity

start not retrieved → present
Penniall & Associates
IA capacity

Jul 22, 2015 → Mar 23, 2017
F500 Advisory Services, Inc.
IA capacity

Jul 15, 2011 → Jul 16, 2015
Finance 500, Inc.
BD capacity

Apr 9, 2010 → Jun 4, 2015
Gunnallen Financial, Inc
IA capacity

Jul 9, 2008 → Mar 30, 2010
Gunnallen Financial, Inc
BD capacity

Jul 8, 2008 → Mar 30, 2010
Wamu Investments, Inc.
BD capacity

Sep 26, 2005 → Mar 13, 2008
Wamu Investments, Inc.
IA capacity

Sep 26, 2005 → Mar 13, 2008
Morgan Stanley
IA capacity

Apr 2, 2003 → Aug 23, 2005
Morgan Stanley Dw Inc.
BD capacity

Mar 27, 2003 → Aug 23, 2005

Source & corrections

Where this page comes from

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