Floyd W. 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.
Floyd William Griffin JR, who also goes by Bill Griffin Jr, Bill Griffin, was a registered financial professional .
Floyd is a previously registered financial professional and started their career in finance in 1986. Floyd had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 1999 - September 29, 2014
WEALTH ADVISORS GROUP
October 19, 1994 - December 18, 2009
LPL FINANCIAL LLC
May 21, 1993 - December 31, 2014
LPL FINANCIAL LLC
September 30, 1991 - May 26, 1993
VP DISTRIBUTORS LLC
January 8, 1986 - September 11, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
WEALTH ADVISORS GROUP
CRD#: 122050 / SEC#: 801-69787
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
WEALTH ADVISORS GROUP
CRD#: 122050 / SEC#: 801-69787
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,848 |
| AUM (Assets Under Management) | $ 1,127,499,798 |
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.
