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David Michael Grindel
DAVID M GRINDEL
CRD#: 4171475
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 101 East Kennedy Boulevard, Suite 1800
TAMPA, FL 33602
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2018 - 2024 (6 years)2 FIRMS2024 - Present (<1 year)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2009 - 2018 (9 years)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2005 - 2009 (3 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2001 - 2005 (3 years)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2015 - 2018 (3 years)IAGREGORY ADVISORS, INC. (CRD# 132900)2003 - 2015 (12 years)
License(s)

State Registrations

B
Alabama 7/15/2024

B
Minnesota 7/2/2024

B
Arizona 7/2/2024

B
Missouri 7/2/2024

B
California 7/2/2024

B
Nebraska 7/4/2024

B
Colorado 7/2/2024

B
Nevada 7/2/2024

B
Connecticut 7/2/2024

B
New Hampshire 7/2/2024

B
Delaware 7/2/2024

B
New Jersey 7/2/2024

B
District of Columbia 7/16/2024

B
New Mexico 7/16/2024

B
Florida 7/2/2024

B
New York 7/2/2024

IA
Florida 7/9/2024

B
North Carolina 7/2/2024

B
Georgia 7/2/2024

B
Ohio 7/2/2024

B
Hawaii 7/2/2024

B
Oklahoma 7/2/2024

B
Idaho 7/2/2024

B
Oregon 8/9/2024

B
Illinois 7/2/2024

B
Pennsylvania 7/2/2024

B
Indiana 7/2/2024

B
Rhode Island 7/2/2024

B
Iowa 7/2/2024

B
South Carolina 7/2/2024

B
Kansas 7/2/2024

B
Tennessee 7/2/2024

B
Kentucky 7/2/2024

B
Texas 7/2/2024

B
Louisiana 7/2/2024

IA
Texas 8/12/2024

B
Maine 7/2/2024

B
Utah 7/2/2024

B
Maryland 7/2/2024

B
Virginia 7/2/2024

B
Massachusetts 7/2/2024

B
Washington 7/2/2024

B
Michigan 7/2/2024

B
West Virginia 7/2/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
101 East Kennedy Boulevard, Suite 1800, TAMPA, FL 33602
Registered with this firm since 7/9/2024

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
101 East Kennedy Boulevard, Suite 1800, TAMPA, FL 33602
Registered with this firm since 7/2/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/19/2018 - 07/11/2024 MORGAN STANLEY (CRD#:149777) Tampa, FL
B
07/18/2018 - 07/11/2024 MORGAN STANLEY (CRD#:149777) Tampa, FL
IA
01/26/2015 - 06/25/2018 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) Tampa, FL
B
05/11/2009 - 06/25/2018 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) Tampa, FL
IA
05/02/2003 - 09/10/2015 GREGORY ADVISORS, INC. (CRD#:132900) TAMPA, FL
B
10/31/2005 - 05/21/2009 SAGEPOINT FINANCIAL, INC. (CRD#:133763) TAMPA, FL
B
11/05/2001 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.