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MG

Mark S. Griffith

Some features on this profile are disabled
CRD#: 1500653
MG

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.

Mark Stewart Griffith was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 11 firms and has passed the Series 63, Series 7, Series 4, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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

August 6, 2004 - December 13, 2004

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

November 13, 2002 - December 21, 2005

VIEWTRADE FINANCIAL

BD
CRD#: 47116
BOCA RATON, FL
Past

October 23, 2001 - July 16, 2002

VIEWTRADE FINANCIAL

BD
CRD#: 47116
BOCA RATON, FL
Past

February 1, 2001 - April 17, 2012

VIEWTRADE SECURITIES, INC.

BD
CRD#: 46987
BOCA RATON, FL
Past

December 4, 2000 - January 29, 2001

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

September 8, 2000 - December 4, 2000

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

May 30, 1997 - September 11, 2000

THE AGEAN GROUP, INC

BD
CRD#: 30835
BOCA RATON, FL
Past

August 16, 1996 - June 2, 1997

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

November 20, 1991 - August 26, 1996

EURO-ATLANTIC SECURITIES INC.

BD
CRD#: 21367
BOCA RATON, FL
Past

December 19, 1990 - November 25, 1991

GUARDIAN INTERNATIONAL SECURITIES CORP.

BD
CRD#: 8454
Past

January 2, 1987 - January 1, 1991

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

May 22, 1986 - January 2, 1987

MICHELIN AND COMPANY, INC.

BD
CRD#: 14447

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.

Exams

State Security Law Exam
RR
Series 63
Date: 6/12/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/13/1993
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/13/1992
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/26/1991
General Securities Principal Examination

Current Firm

DJ
DAWSON JAMES SECURITIES, INC.
DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: , 8-66367

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Mailing Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Phone number
(561) 391-5555
Established
Florida since 07/30/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARK FINANCIAL SERVICES, INC.OWNER
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event12
Civil Event1
Arbitration3

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.

Company Information

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

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