Juliet R. Grayburn

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CRD#: 6788145

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Juliet Rose Grayburn, who also goes by Juliet Rose Grayburn, was a registered financial professional .

Juliet is a previously registered financial professional and started their career in finance in 2018. Juliet had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Juliet Rose Grayburn

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 05/2023 - 160 HRS / MONTHLY, NATIONAL CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 1, 2024 - April 4, 2025

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

DENVER, CO

Past

October 1, 2024 - April 4, 2025

AW SECURITIES

CRD#: 103747

FOLSOM, CA

Past

November 9, 2023 - April 9, 2024

ASSETMARK, INC.

RIA

CRD#: 109018

Chicago, IL

Past

May 23, 2023 - April 9, 2024

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Chicago, IL

Past

July 2, 2021 - June 10, 2022

EMBED CLEARING LLC

CRD#: 309519

VANCOUVER, WA

Past

May 28, 2020 - June 25, 2021

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

August 23, 2019 - January 31, 2020

TD AMERITRADE, INC.

CRD#: 7870

Southlake, TX

Past

October 5, 2018 - July 29, 2019

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

FORT WORTH, TX

Past

January 30, 2018 - September 26, 2018

TD AMERITRADE, INC.

CRD#: 7870

Southlake, TX

Past

January 23, 2018 - September 26, 2018

TD AMERITRADE CLEARING, INC.

CRD#: 5633

Southlake, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/9/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/1/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2018

General Securities Representative Examination

Current Firm

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

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Contact information

Main Address

340 Palladio Pkwy. Suite 501, Folsom, CA 95630

Mailing Address

Phone number

(916) 482-2196

Established

Firm type

Fiscal year end

# of Employees

466

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (7/1/2025)

FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	64,930
AUM (Assets Under Management)	$ 25,097,132,975

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/05/2025	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Juliet R. Grayburn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AW SECURITIES

ASSETMARK, INC.

ASSETMARK BROKERAGE, LLC

EMBED CLEARING LLC

APEX CLEARING CORPORATION

TD AMERITRADE, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

TD AMERITRADE, INC.

TD AMERITRADE CLEARING, INC.

Primary Firm SEC Registration

ALLWORTH FINANCIAL, L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2023

Series 63

Date: 2/1/2018

SIE

Date: 9/26/2018

Series 7

Date: 1/23/2018

Current Firm

ALLWORTH FINANCIAL, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLWORTH FINANCIAL, L.P.

TRUST BUT VERIFY

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