Carla D. Griffin
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.
Carla Diane Griffin, who also goes by Carla D Griffin, Carla Griffin Poston, was a registered financial professional .
Carla is a previously registered financial professional and started their career in finance in 1988. Carla had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2015 - September 9, 2021
VIRTUS INVESTMENT ADVISERS, LLC
November 10, 2015 - December 9, 2016
VP DISTRIBUTORS LLC
September 12, 2013 - October 6, 2015
ALPS DISTRIBUTORS, INC.
March 28, 2012 - January 16, 2013
STADION MONEY MANAGEMENT, LLC
March 18, 2010 - March 8, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 9, 2010 - January 7, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 25, 2009 - December 16, 2009
TD AMERITRADE, INC.
June 19, 2009 - December 16, 2009
TD AMERITRADE, INC.
June 19, 2009 - December 16, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 31, 2006 - July 31, 2007
BNY MELLON SECURITIES CORPORATION
March 29, 2006 - July 31, 2007
BNY MELLON SECURITIES CORPORATION
April 29, 2003 - March 21, 2006
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
April 28, 2003 - March 21, 2006
DWS DISTRIBUTORS, INC.
March 17, 1999 - April 2, 2003
BNY MELLON SECURITIES CORPORATION
December 14, 1995 - February 24, 1999
SECURITY DISTRIBUTORS
January 16, 1991 - August 18, 1994
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
March 22, 1988 - November 27, 1990
WACHOVIA SECURITIES, INC.
Primary Firm SEC Registration
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 105 |
| AUM (Assets Under Management) | $ 53,982,609,839 |
Red Flags
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