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RIA / WealthAdvisor23 years in industry

THOMAS UTTERBACK GRINNELL

Advisor at SHERPA FINANCIAL GUIDES, INC.

Crozet, VA

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Search this name across graphsid dfx:ria:f1ce4e8a-a3d5-ec59-c19d-b95e9cf1eec1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 8, 2002 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: SHERPA FINANCIAL GUIDES, INC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 2, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 2, 2002
First registration: Oct 8, 2002
Dual registered: no
Other names: TUG UTTERBACK GRINNELL|TUG GRINNELL
IAPD individual key: 4540693

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
SHERPA FINANCIAL GUIDES, INC.	State registered	Jun 19, 2021	n/a	yes	Crozet, VA	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	May 6, 2021	Jun 17, 2021	no	CROZET, VA\|AFTON, VA	Previous registration
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	May 8, 2019	May 4, 2021	no	CROZET, VA\|AFTON, VA	Previous registration
BB&T SECURITIES, LLC	Former SEC adviser	Jan 2, 2018	Dec 14, 2018	no	CHARLOTTESVILLE, VA\|LOVINGSTON, VA\|RUCKERSVILLE, VA\|CHARLOTTE, NC\|CHARLOTTESVILLE, VA\|VIRGINIA BEACH, VA	Previous registration
BB&T INVESTMENT SERVICES, INC.	Former SEC adviser	Mar 22, 2004	Jan 2, 2018	no	AFTON, VA\|CHARLOTTESVILLE, VA\|CHARLOTTESVILLE, VA\|LOVINGSTON, VA\|RUCKERSVILLE, VA\|SCOTTSVILLE, VA\|PALMYRA, VA\|MINERAL, VA\|CHARLOTTESVILLE, VA\|CHARLOTTESVILLE, VA\|CHARLOTTESVILLE, VA\|CHARLOTTE, NC\|MINERAL, VA\|LOVINGSTON, VA\|RUCKERSVILLE, VA\|FORK UNION, VA\|SCOTTSVILLE, VA\|CHARLOTTE, NC\|CHARLOTTESVILLE, VA\|CHARLOTTESVILLE, VA\|VIRGINIA BEACH, VA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Oct 8, 2002	Dec 9, 2003	no	RESEARCH TRIANGLE, NC	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
AE WEALTH MANAGEMENT, LLC	SHERPA FINANCIAL GUIDES, INC.	Jun 17, 2021	Jun 19, 2021	2	Firm change	Ibd to state RIA
BB&T SECURITIES, LLC	AE WEALTH MANAGEMENT, LLC	Dec 14, 2018	May 8, 2019	145	Firm change	Ibd to RIA
BB&T INVESTMENT SERVICES, INC.	BB&T SECURITIES, LLC	Jan 2, 2018	Jan 2, 2018	0	Bulk transfer	Other
EQUITABLE ADVISORS, LLC	BB&T INVESTMENT SERVICES, INC.	Dec 9, 2003	Mar 22, 2004	104	Firm change	Ibd to new firm

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
282580:314973:VA:2021-06-17	Jun 17, 2021	Jun 19, 2021	AFTON, VA	Firm change

Relationships

Registered with (5)

→ SHERPA FINANCIAL GUIDES, INC.Registered adviserregistration: current employment
Jun 19, 2021 to presentfactForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 6, 2021 to Jun 17, 2021factForm ADV
→ BB&T SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 2, 2018 to Dec 14, 2018factForm ADV
→ BB&T INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 22, 2004 to Jan 2, 2018factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 8, 2002 to Dec 9, 2003factForm ADV

Dated events

No dated event names this entity yet.