Mark Grunwald has been Director of J. Safra Asset Management since October 2009, is a control person of the firm and directly owns under 5% of it.
J. Safra Asset Management Corporation is a New York City, NY firm with $6.26B under management, 3,443 clients and 13 advisers across 3 offices, as of its August 2026 filing.
No adviser firm registrations are on Mark Grunwald’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 26 November 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 November 2000 |
| Series 7 | General Securities Representative Examination | 11 October 2000 |
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mark Steven Grunwald
- CRD
- 3262204
- Firm
- J. Safra Asset Management · CRD 131243
- Role
- Director
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Mark Grunwald work?
Mark Grunwald has been Director of J. Safra Asset Management Corporation since October 2009, and is a control person of the firm.
Does Mark Grunwald have a current investment-adviser registration?
Mark Grunwald has a current broker registration and no current investment-adviser registration.
What exams has Mark Grunwald passed?
Mark Grunwald has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 79TO. The earliest, the Series 7, was passed in October 2000. FINRA credited Mark Grunwald with the SIE, which began in October 2018.
Is Mark Grunwald registered with FINRA?
Yes. Mark Grunwald has a current broker registration, under CRD 3262204.
Source: FINRA BrokerCheck
How can I verify Mark Grunwald’s record?
Search CRD 3262204 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Mark Grunwald’s full registration record.