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Jeffrey Alan Grund

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Information

Firm:
Type: Dual Registration
Description

Jeffrey Grund is a financial professional at LPL Financial LLC, a broker-dealer with over 18,000 registered representatives nationwide. Jeffrey has held an industry securities registration for 37 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
LPL Financial LLC 13 years, 4 months May 2001 - Present
Exams
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 02/13/2003
Uniform Investment Adviser Law ExaminationSeries 65 11/15/2002
Uniform Securities Agent State Law ExaminationSeries 63 08/24/1984
Registered Representative ExaminationSeries 1 11/18/1975

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Jeffrey Alan Grund has not answered any questions on Financial Q&A.

Top Guides

Jeffrey Alan Grund 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
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

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

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/03/2014
07/03/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions