James T. Griscom

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CRD#: 1356592

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.

James Thomas Griscom II, who also goes by James Thomas Griscom, Jimmy Griscom, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1985. James had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 31 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Thomas Griscom | Jimmy Griscom

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.PINNACLE BANK:INVESTMENT RELATED:2/2016-PRESENT:NASHVILLE,TN:FINANCIAL CONSULTANT:BANK;160 HRS/MO:130 HRS DURING TRADING. 2.HILLWOOD CPOUNTRY CLUB:NOT INVESTMENT RELATED:2013-PRESENT:NASHVILLE,TN:BOARD MEMBER:2 HRS/MO:0 HRS DURING TRADING:ATTEND MONTHLY BOARD MEETINGS TO DISCUSS CLUB ACTIVITIES, IMPROVEMENTS & BUDGET.

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

June 15, 2016 - September 20, 2023

TRANQUILITY PARTNERS, LLC

RIA

CRD#: 283478

BRENTWOOD, TN

Past

February 26, 2016 - June 23, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

NASHVILLE, TN

Past

February 18, 2016 - June 23, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NASHVILLE, TN

Past

August 15, 2013 - February 19, 2016

TRIAD ADVISORS LLC

RIA

CRD#: 25803

NASHVILLE, TN

Past

October 22, 2012 - February 19, 2016

TRIAD ADVISORS LLC

CRD#: 25803

NASHVILLE, TN

Past

January 27, 2011 - July 15, 2013

WADDELL & ASSOCIATES INC

RIA

CRD#: 105746

BRENTWOOD, TN

Past

December 1, 2004 - December 7, 2006

AVONDALE PARTNERS, LLC

CRD#: 46838

NASHVILLE, TN

Past

December 16, 2002 - December 2, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NASHVILLE, TN

Past

March 1, 2002 - December 2, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 2, 2001 - March 11, 2002

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 20, 1990 - July 10, 2001

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

September 26, 1986 - February 24, 1990

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

June 11, 1985 - September 9, 1986

NEW ENGLAND SECURITIES

CRD#: 615

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRANQUILITY PARTNERS, LLC

CRD#: 283478 / SEC#: 801-113232

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Tennessee

Registered Investment Advisory firm - (5/30/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2018 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).

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.

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: 10/15/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/26/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 6/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/2012

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 7/16/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 6

Date: 5/31/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TRANQUILITY PARTNERS, LLC

CRD#: 283478 / SEC#: 801-113232

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Tennessee

Registered Investment Advisory firm - (5/30/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2018 Terminated)

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Contact information

Main Address

5214 Maryland Way Suite 405, Brentwood, TN 37027

Mailing Address

Phone number

(615) 432-5370

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-TRANQUILITY PARTNERS, LLC (1/22/2025)

Regulatory assets under management

Total Number of Accounts	859
AUM (Assets Under Management)	$ 685,425,804

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James T. Griscom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

WADDELL & ASSOCIATES INC

AVONDALE PARTNERS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

TRUIST SECURITIES, INC.

J.C. BRADFORD & CO.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

TRANQUILITY PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/15/2012

Series 65

Date: 1/26/2011

SIE

Date: 6/23/2016

Series 7

Date: 10/21/2012

Series 31

Date: 7/16/2003

Series 6

Date: 5/31/1985

Current Firm

TRANQUILITY PARTNERS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRANQUILITY PARTNERS, LLC

TRUST BUT VERIFY

Contact information

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