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Mark James Grimmig

Loop Capital Markets LLC

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About Mark James Grimmig

Mark Grimmig is a financial professional with over 30 years of experience in the industry. Mark is currently registered with Loop Capital Markets LLC, a broker-dealer headquartered in Chicago, IL. Prior to joining Loop Capital Markets LLC, Mark held positions at several other firms, including Janney Montgomery Scott LLC, TD Securities (USA) LLC, M.R. Beal & Company, J.P. Morgan Securities Inc., Bear, Stearns & Co. Inc., William E. Simon & Sons Municipal Securities, Inc., Printon, Kane Group, Inc., Printon, Kane Government Securities, Inc., Printon Kane & Co., L.P., and Thomson McKinnon Securities Inc. Mark has a diverse background in the financial services industry and has a strong understanding of the markets.

Firm Information

Mark Grimmig is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

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.

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transition management services/equity research services

Transition management services/equity research services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Mark Grimmig’s Registration & Firm History

IL

10/27/2015 - Present

Loop Capital Markets LLC (CHICAGO IL)

NY

01/31/2012 - 10/29/2015

JANNEY MONTGOMERY SCOTT LLC (NEW YORK NY)

NY

01/27/2010 - 01/30/2012

TD SECURITIES (USA) LLC (NEW YORK NY)

NY

07/07/2008 - 01/27/2010

M. R. BEAL & COMPANY (NEW YORK NY)

NY

04/21/2003 - 07/02/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

02/28/1991 - 04/14/2003

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NJ

03/05/1990 - 03/06/1991

WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC. (MORRISTOWN NJ)

NA

09/01/1989 - 01/01/1990

PRINTON, KANE GROUP, INC.

NA

06/23/1988 - 09/01/1989

PRINTON, KANE GOVERNMENT SECURITIES, INC.

NA

04/24/1986 - 09/01/1989

PRINTON KANE & CO., L.P.

NA

06/13/1984 - 10/26/1984

THOMSON MCKINNON SECURITIES INC.

NA

07/22/1982 - 03/01/1984

SAMUEL A. RAMIREZ & CO., INC.

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Licenses & Designations

BC

Issued 03/20/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/06/2012

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/17/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark James Grimmig.
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