Leonard C. 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.
Leonard Carl Griffin, who also goes by Leonard C Griff, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1984. Leonard had worked at 2 firms and has passed the Series 65, Series 63 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
August 22, 1989 - December 16, 2013
THE BURNEY COMPANY
April 18, 1984 - December 31, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
THE BURNEY COMPANY
CRD#: 106945 / SEC#: 801-10232
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
THE BURNEY COMPANY
CRD#: 106945 / SEC#: 801-10232
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,389 |
| AUM (Assets Under Management) | $ 3,136,984,434 |
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.
