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Garth Grillo

Jefferies LLC

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About Garth Grillo

Garth Grillo is a financial professional with over seven years of experience in the industry. Garth is currently registered with Jefferies LLC and holds a Series 7, 63, 79, 86, 87, and SIE license. Previously, Garth has held positions at KeyBanc Capital Markets Inc. and SunTrust Robinson Humphrey, Inc..

Firm Information

Garth Grillo is currently registered with Jefferies LLC. Jefferies LLC is a Limited Liability Company formed on March 1, 2013, operating in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are approved by the SEC and hold active registrations in all 53 jurisdictions.

Not reported

Assets Under Management

Not reported

Total Clients

446

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Garth Grillo’s Registration & Firm History

CA

04/08/2022 - Present

Jefferies LLC (SAN FRANCISCO CA)

TX

10/03/2017 - 03/22/2022

KEYBANC CAPITAL MARKETS INC. (HOUSTON TX)

TX

09/16/2016 - 10/10/2017

SUNTRUST ROBINSON HUMPHREY, INC. (HOUSTON TX)

NY

08/31/2015 - 09/15/2016

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/14/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/22/2018

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 03/21/2016

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 01/08/2016

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 08/31/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Garth Grillo.
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