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DG

Dennis D. Griggs

Some features on this profile are disabled
CRD#: 1040026
DG

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.

Dennis Dean Griggs, who also goes by Dennis Griggs, was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis Griggs

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.
The advisor shows no other business activity.

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

September 1, 2017 - March 11, 2021

PENSIONMARK SECURITIES, LLC

BD
CRD#: 283952
SANTA BARBARA, CA
Past

September 15, 2015 - September 1, 2017

CAPFINANCIAL SECURITIES, LLC.

BD
CRD#: 126291
RALEIGH, NC
Past

July 15, 2015 - December 31, 2021

WORLD INVESTMENT ADVISORS, LLC

RIA
CRD#: 208512
MISSOURI CITY, TX
Past

September 12, 2014 - July 15, 2015

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
JERSEY VILLAGE, TX
Past

September 12, 2014 - July 24, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
MISSOURI CITY, TX
Past

October 15, 2009 - October 23, 2014

FINANCIAL TELESIS INC

RIA
CRD#: 31012
JERSEY VILLAGE, TX
Past

October 15, 2009 - October 23, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
JERSEY VILLAGE, TX
Past

March 13, 2008 - October 20, 2009

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
HOUSTON, TX
Past

September 22, 2006 - October 20, 2009

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
HOUSTON, TX
Past

April 28, 2003 - June 6, 2006

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

January 29, 1996 - August 2, 2002

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

January 6, 1983 - December 31, 1995

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/12/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/30/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/5/1983
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PS
PENSIONMARK SECURITIES, LLC
PENSIONMARK SECURITIES, LLC | PFG SECURITIES, LLC. | PENSIONMARK SECURITIES, LLC.

CRD#: 283952 / SEC#: , 8-69773

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
24 East Cota Street Suite 200, Santa Barbara, CA 93101
Mailing Address
24 East Cota Street Suite 200, Santa Barbara, CA 93101
Phone number
(888) 201-5488
Established
Delaware since 04/22/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WORLD INVESTMENT ADVISORS, LLCOWNER208512
CARTER, ANA RFINOP, PFO, POO4424794
CURLEY, JONATHAN ECHIEF COMPLIANCE OFFICER827148
HAMMOND, TROY GLENPRESIDENT/CEO2254232

Disclosures

Regulatory Event1

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.

Company Information

PENSIONMARK SECURITIES, LLC

CRD#: 283952

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