Home  >  BrightScope Advisor Pages  >  Grant Dorian Mayer

Information

Firm:
Type: Dual Registration
Description

Grant Mayer is a financial professional at Charles Schwab & Co., Inc., a broker-dealer with over 7,100 registered representatives nationwide. Grant has held an industry securities registration for 21 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Grant Dorian Mayer has not answered any questions on Financial Q&A.

Top Guides

Grant Dorian Mayer has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Shp Inc. 5 years, 11 months May 2008 - Present
Charles Schwab Bank 9 years, 2 months Feb 2005 - Present
Charles Schwab & Co., Inc. 17 years, 2 months Feb 1997 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/03/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
01/03/2012
08/15/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 02/25/2005
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 02/20/1998
Uniform Investment Adviser Law Examination Series 65 03/28/1994
General Securities Principal Examination Series 24 06/12/1992
Uniform Securities Agent State Law Examination Series 63 08/23/1991
General Securities Representative Examination Series 7 08/12/1991

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Hourly Charges
  • Fixed Fees
  • Other: ASSET BASED FEES FOR WRAP PROGRAMS SPONSORED BY APPLICANT.