William Griffo
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.
William Griffo was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3 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
September 11, 2018 - October 9, 2019
DREXEL HAMILTON, LLC
October 23, 2006 - February 5, 2008
NEWEDGE USA, LLC
November 2, 2005 - November 6, 2006
SEABOARD SECURITIES, INC.
November 2, 2004 - November 1, 2005
B. RILEY WEALTH MANAGEMENT
March 10, 2004 - August 9, 2004
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
August 27, 2003 - March 12, 2004
NEWEDGE USA, LLC
July 19, 1999 - August 25, 2003
UBS SECURITIES LLC
April 24, 1999 - September 7, 1999
HSBC SECURITIES (USA) INC.
August 8, 1995 - June 18, 1997
HSBC SECURITIES (USA) INC.
August 22, 1994 - August 7, 1995
CITIGROUP GLOBAL MARKETS INC.
December 23, 1993 - June 13, 1994
DKB SECURITIES (USA) CORPORATION
May 20, 1986 - December 24, 1992
J.P. MORGAN SECURITIES LLC
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
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
Red Flags
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