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Carl H Grund

Firm:
Signator Investors, Inc.
Type: Dual Registration
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Description

Carl Grund a financial professional at Signator Investors, Inc., a broker-dealer with over 1,500 registered representatives nationwide. Carl has held an industry securities registration for 3 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Carl H Grund has not answered any questions on Financial Q&A.

Top Guides

Carl H Grund has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities

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

Experience and Employment History

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Employer Years Dates
Signator Investors, Inc. 4 years, 6 months Nov 2008 - Present
Smithbarney 3 months Sep 2006 - Dec 2006
Smithbarney 3 months May 2006 - Aug 2006
Community Home Mortgage 4 months Apr 2006 - Aug 2006
Prime Time Productions 2 years Jun 2005 - Jun 2007
Woodholme Country Club 3 years, 3 months Jun 2000 - Sep 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/29/2012, 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

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
05/29/2012
08/18/2012
*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

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 04/23/2009
General Securities Representative Examination Series 7 12/30/2008

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees