Joel C. Mcgriff

THE MCGRIFF ALLIANCE

BIRMINGHAM, AL 35242

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CRD#: 1189473

Professional summary

Joel Conrad Mcgriff is a registered financial advisor currently at THE MCGRIFF ALLIANCE located in Birmingham, Alabama.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Joel has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)START DATE 1990, I'M AN OFFICER OF THE MCGRIFF BURRUS ALLIANCE. I DEVOTE 80 HRS/MO TO FIXED INSURANCE AND INDEPENDENT REGISTER ADVISOR FIRM. BUSINESS LOCATION: 2201 PROVIDENCE PARK #100, BIRMINGHAM, AL 35242. 2) DUNES OF SEAGROVE CONDOMINIUM; SOUTH WALTON BEACH, FL; RENTAL PROPERTY; OWN JOINTLY WITH WIFE; 37,000.00 ANNUALLY; NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Conrad Mcgriff's CRS (Customer Relationship Summary).

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

Current

January 24, 2005 - Present

THE MCGRIFF ALLIANCE

Office #1: 2201 Providence Park Suite 100, Birmingham, AL 35242

RIA

CRD#: 131477

BIRMINGHAM, AL

Past

August 6, 2010 - February 29, 2016

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

BIRMINGHAM, AL

Past

March 26, 2008 - September 2, 2010

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

February 5, 2008 - March 20, 2008

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

URBANDALE, IA

Past

December 13, 1996 - December 31, 2007

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

BIRMINGHAM, AL

Past

February 8, 1995 - December 13, 1996

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

November 6, 1987 - December 22, 1994

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

December 23, 1983 - November 23, 1987

PRINCIPAL SECURITIES, INC.

CRD#: 1137

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(1/24/2005)

IAR

Georgia
(3/2/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/2/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/29/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/1995

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/17/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/22/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/1995

General Securities Principal Examination

Current Firm

THE MCGRIFF ALLIANCE

THE MCGRIFF ALLIANCE | THE MCGRIFF BURRUS ALLIANCE | THE MCGRIFF ALLIANCE, INC.

CRD#: 131477 / SEC#:

Alabama

Registered Investment Advisory firm - (2/17/1995 Approved)

Georgia

Registered Investment Advisory firm - (2/28/2005 Approved)

Tennessee

Registered Investment Advisory firm - (12/21/2012 Terminated)

Texas

Registered Investment Advisory firm - (11/21/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2201 Providence Park Suite 100, Birmingham, AL 35242

Mailing Address

Phone number

(205) 991-4448

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 18,369,564

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.

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Joel C. Mcgriff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Conrad Mcgriff's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROWN CAPITAL SECURITIES, L.P.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

INTEGRITY ALLIANCE, LLC.

SECURITIES SERVICE NETWORK, LLC

KEOGLER, MORGAN & COMPANY, INC.

SECURIAN FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/1983

SIE

Date: 2/29/2016

Series 7

Date: 4/17/1995

Series 22

Date: 12/17/1984

Series 6

Date: 12/22/1983

Series 24

Date: 4/21/1995

Current Firm

THE MCGRIFF ALLIANCE

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE MCGRIFF ALLIANCE

TRUST BUT VERIFY

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