John 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.
John Christian Griffin was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2012. John had worked at 4 firms and has passed the Series 99TO, SIE and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2022 - October 12, 2022
NEWMARK SECURITIES, LLC
August 19, 2014 - April 13, 2023
CANTOR FITZGERALD & CO.
August 28, 2012 - September 9, 2013
KIMBERLITE ADVISORS, LLC
August 28, 2012 - October 28, 2013
SITUS CAPITAL MANAGEMENT LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 8/27/2012
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
NEWMARK SECURITIES, LLC
CRD#: 309193 / SEC#: , 8-70554
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWMARK PARTNERS, L.P. | SOLE MEMBER | |
| DAVIS, JOSHUA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 7761240 |
| KUEHNEN, ERIC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 4577416 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SMIGEL, STEPHEN JARED | CHIEF EXECUTIVE OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2401258 |
Red Flags
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