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David Edward Grubman

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Information

Other Names: David E Grubman
Firm:
Type: RIA
Description

David Grubman is a financial professional at Financial Engines Advisors L.L.C., an $88B RIA based in Sunnyvale, CA. David has held an industry securities registration for 7 years and is subject to SEC oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Financial Engines Advisors L.L.C. 7 years, 9 months Jan 2007 - Present
Peak Technology Group 1 year, 11 months Jan 2005 - Dec 2006
Pyramid Digital Solutions 10 years, 2 months Oct 1994 - Dec 2004
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 06/11/2007

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

David Edward Grubman has not answered any questions on Financial Q&A.

Top Guides

David Edward Grubman has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Other Investment Advisors

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

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
09/10/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Other: SET-UP FEES & RELATED SVCS; REIMBURSEMENTS FOR PRINTED MATERIALS