Brian R. Griffiths
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.
Brian Robert Griffiths was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1989. Brian had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 79, Series 7 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
June 25, 2020 - January 3, 2022
SPURRIER CAPITAL PARTNERS LLC
September 2, 2014 - September 8, 2016
GUGGENHEIM SECURITIES, LLC
December 14, 2011 - July 14, 2014
CREDIT SUISSE SECURITIES (USA) LLC
April 12, 1996 - October 26, 2001
MORGAN STANLEY & CO. LLC
August 31, 1995 - March 20, 1996
JPMSI
November 22, 1989 - October 28, 1994
LEHMAN BROTHERS INC.
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
Series 79TO
Date: 6/25/2020
Investment Banking Registered Representative ExaminationCurrent Firm
SPURRIER CAPITAL PARTNERS LLC
CRD#: 173524 / SEC#: , 8-69540
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INTERNATIONAL, LP | OWNER | |
| SPURRIER, CLARK ANDREW | MANAGING PARTNER, CHIEF EXECUTIVE OFFICER, EXECUTIVE REPRESENTATIVE AND CHIEF COMPLIANCE OFFICER | 2636419 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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