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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

STEVEN GRUBER

Advisor at STRATEGIC ADVISERS LLC

DUBLIN, CA | HAYWARD, CA

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Search this name across graphsid dfx:ria:084abcc1-5e14-3901-dcc3-7fbb8dc96133

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 11, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 11, 2007
First registration: Sep 19, 2008
Dual registered: yes, broker-dealer
Other names: STEVEN D GRUBER|STEVEN DAVID GRUBER|STEVEN DAVID GRUBER
IAPD individual key: 5077137

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	HAYWARD, CA\|DUBLIN, CA	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Mar 31, 2025	no	BOSTON, MA\|DUBLIN, CA\|HAYWARD, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jan 6, 2016	Jul 13, 2018	no	DUBLIN, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 16, 2010	Dec 11, 2015	no	E. PALO ALTO, CA\|PROVIDENCE, RI	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 16, 2010	Dec 11, 2015	no	Menlo Park, CA\|Providence, RI	Previous registration
FINANCIAL FOUNDATIONS, INC.	State registered	Nov 25, 2008	Mar 12, 2009	no	FRAMINGHAM, MA	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Sep 19, 2008	Mar 13, 2009	no	Southborough, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Dec 11, 2015	Feb 16, 2010	-2,124	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 11, 2015	Feb 16, 2010	-2,124	Firm change after gap	Other
COMMONWEALTH FINANCIAL NETWORK	FINANCIAL FOUNDATIONS, INC.	Mar 13, 2009	Nov 25, 2008	-108	Firm change after gap	Ibd to state RIA
FINANCIAL FOUNDATIONS, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Mar 12, 2009	Feb 16, 2010	341	Firm change	Other

Relationships

Registered with (6)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jan 6, 2016 to Jul 13, 2018factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 16, 2010 to Dec 11, 2015factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 16, 2010 to Dec 11, 2015factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Sep 19, 2008 to Mar 13, 2009factForm ADV
→ FINANCIAL FOUNDATIONS, INC.Registered adviserregistration: previous registration
Nov 25, 2008 to Mar 12, 2009factForm ADV

Dated events

No dated event names this entity yet.