Patrick J. 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.
Patrick Joseph Griffin, who also goes by Patrick J Griffin, was a registered financial advisor .
Patrick is a previously registered financial advisor and started their career in finance in 1985. Patrick had worked at 8 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
January 2, 2009 - May 10, 2010
PURSHE KAPLAN STERLING INVESTMENTS
September 30, 2005 - January 7, 2009
SECURITIES AMERICA, INC.
August 27, 2004 - May 10, 2010
HBKS WEALTH ADVISORS
August 11, 2004 - October 5, 2005
CAP PRO BROKERAGE SERVICES, INC.
May 9, 2002 - May 19, 2004
FIFTH THIRD SECURITIES, INC.
April 23, 1998 - September 23, 1998
BANC ONE SECURITIES CORPORATION
December 8, 1992 - March 28, 1995
BANC ONE SECURITIES CORPORATION
June 9, 1988 - July 27, 1992
AT INVESTMENT SERVICES CORP.
July 29, 1985 - June 19, 1987
FINANCIAL SQUARE PARTNERS
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
