MG
Mark W. Griffith
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CRD#: 1549383
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 William Griffith, CFP® was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 6 firms and has passed the SIE, Series 7, Series 22 and Series 6 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.
1)MARK GRIFFITH, 105 W PLANT ST, SUITE 6, WINTER GARDEN, FL, INSURANCE, INVESTMENT RELATED, AGENT/SOLE PROPRIETOR, OFFERING PROPERTY & CASUALTY, ACCDENT & HEALTH, DISABLITY, AND TRADITIONAL LIFE INSURNACE, FIXED ANNUITIES, AND HEALTH SAVINGS ACCOUNTS, START DT 1985, 40 HPM, 40 HPM DURING TRADING HRS. 2)CRA-MAR GROVES, 5932 CAYMUS LOOP, WINDERMERE, FL, FARMING OR RANCHING, NOT INVESTMENT RELATED, OWNER, HANDLE THE ACCOUNTING FOR CITUS-GROWING BUSINESS, START DT 1981, 15 HPM, 15 HPM DURING TRADING HRS. 3)GRIFFITH FINANCIAL SERVICES, 105 W. PLANT STREET, SUITE 6, WINTER GARDEN, FL 34787. CATEGORY: INSURANCE. INVESTMENT-RELATED: YES TITLE: AGENT. DUTIES: OFFERING ACCIDENTAL/HEALTH INSURANCE, DISABILITY INSURANCE, FIXED/INDEXED ANNUITIES, P&C INSURANCE, HEALTH SAVING ACCOUNTS AND TRADITIONAL LIFE INSURANCE PRODUCTS. START DATE: 4/2010. HOURS PER MONTH: 200. HOURS PER MONTH DURING TRADING HOURS: 120. 4)HILLCREST INSURANCE AGENCY, 105 W. PLANT ST., SUITE 6, WINTER GARDEN, FL 34787 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: SALE OF PROPERTY AND CASUALTY INSURANCE PRODUCT. START DATE: 3/1999 HOURS PER MONTH: 5 HOURS PER MONTH DURING TRADING HOURS: 5 5)CARDEN & ASSOCIATES, 105 W. PLANT ST., SUITE 6, WINTER GARDEN, FL 34787 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGNENT DUTIES: SALE OF PROPERTY AND CASUALTY INSURANCE PRODUCT. START DATE: 6/1999 HOURS PER MONTH: 5 HOURS PER MONTH DURING TRADING HOURS: 5
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®
CFP®
Start date: 2001
Experience
Past
March 15, 2010 - December 31, 2023
OSAIC FS, INC.
RIA
CRD#: 3870
WINTER GARDEN, FL
Past
March 15, 2010 - December 31, 2023
OSAIC FS, INC.
BD
CRD#: 3870
WINTER GARDEN, FL
Past
January 30, 2002 - December 23, 2009
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ORLANDO, FL
Past
January 30, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
ORLANDO, FL
Past
January 30, 2002 - December 23, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ORLANDO, FL
Past
March 13, 2001 - February 6, 2002
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
June 5, 2000 - March 15, 2001
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
January 2, 1997 - June 5, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
November 3, 1995 - December 31, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
August 14, 1995 - November 15, 1995
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
September 7, 1993 - December 31, 1994
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
October 24, 1986 - December 31, 1991
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
OSAIC FS, INC.
ACORN TAX AND WEALTH ADVISORS | ZIRCON FINANCIAL SERVICES | XEO WEALTH PLANNING | WINDWARD FINANCIAL STRATEGIES | WEALTH ADVISORS OF RALEIGH, INC | WASATCH CAPITAL RESOURCES | THOROUGHBRED FINANCIAL AGENCY | THOMAS MOORE FINANCIAL SERVICES | THOMAS DONAHUE & ASSOCIATES DBA DONAHUE FINANCIAL MANAGEMENT GROUP | THE CAPITAL PLANNING GROUP | TEWES WEALTH MANAGEMENT | TEIXEIRA FINANCIAL GROUP | TCFN (THE CAROLINAS FINANCIAL NETWORK) | TAX & FINANCIAL PARTNERS INC | TAUZIN FINANCIAL GROUP | TARA FINANCIAL GROUP | SUMMIT PLANNING GROUP | SUCCESSFUL FINANCIAL MANAGEMENT | STRATEGIC WEALTH PLANNERS, LLC | STEPHEN B. EBBECKE & ASSOCIATES | SIGNATURE FINANCIAL SERVICES GROUP, LLC | SHORELINE WEALTH MANAGEMENT | SAGE WEALTH PARTNERS | SAGE FINANCIAL INNOVATIONS | SAGE FINANCIAL | S.A.MAPES WEALTH MANAGEMENT GROUP LLC | RUBY FINANCIAL PLANNING | RONALD KYZAR FINANCIAL SERVICES | RISE UP FINANCIAL | REYNOLDS FINANCIAL ADVISORS | QUINONES FINANCIAL GROUP LLC | QUANTUM WEALTH ADVISORS, LLC | PROVIDENCE PARTNERS | PRINCIPLES OF FINANCIAL PLANNING | PREMIER ADVISOR GROUP LLC | PILOT FINANCIAL | PHOENIX WEALTH PARTNERS LLC | PERRY PLANNING GROUP | PASSMORE PLANNING PROFESSIONALS | PARTNERS FINANCIAL SERVICES | PARABLE WEALTH MANAGEMENT | OSAIC FS, INC. | ONLY FINANCE LLC | OAKHOUSE ADVISORS | NUTMEG ADVISORY GROUP | NEW BEGINNINGS WEALTH ADVISORS | NATHAN LEE WEALTH MANAGEMENT LLC | MOULTON FINANCIAL GROUP | MONEY MATTERS OF AMERICA, INC | MMC BENEFITS LLC | MCWILLIAMS FINANCIAL GROUP | MAJEWSKI WEALTH MANAGEMENT | MAINSTAY FINANCIAL LLC | M.A.T. FINANCIAL SERVICES | LOWERY FINANCIAL | LOURDES CORUJO FINANCIAL SERVICES | LINDLOFF WEALTH ADVISORS | LINDA CORUJO RETIREMENT CENTER | LINCOLN FINANCIAL SECURITIES CORPORATION | LENNOX INSURANCE AND FINANCIAL LLC | LEGACY PLANNING SOLUTIONS | LAURA TETER | LANDMARK INSURANCE & FINANCIAL GROUP, INC. | KOLIBRI FINANCIAL GROUP | KMK FINANCIAL GROUP | KENSINGTON FINANCIAL SERVICES, INC. | KEM WEALTH MANAGEMENT | KEENA WEALTH, INC. | JOHN AZZARA ASSOCIATES | JMG WEALTH MANAGEMENT | JESSICA C LAMB, FINANCIAL ADVISOR | JEFFERSON PILOT SECURITIES CORPORATION | JEFFERSON PILOT SECURITIES CORP | JEFFERSON FINANCIAL GROUP | HYNES BENEFITS FINANCIAL SERVICES | HORIZON FINANCIAL ADVISORS | HERITAGE ADVISORY GROUP | HEALTH & WEALTH PARTNERS LLC | HATTERAS WEALTH MANAGEMENT | HARRIS WEALTH MANAGEMENT | HARRIS & COMPANY WEALTH MANAGEMENT | HAIRSTON, JOHNSON & ASSOCIATES | GV. FINANCIAL | GROTHAUS FINANCIAL GROUP | GREENE & ASSOCIATES INTEGRATED RETIREMENT STRATEGIES | GOING FINANCIAL | GERMANO FINANCIAL | GALLAGHER - HEFFERON ADVISORS | FORWARD FINANCIAL LLC | FORT BEND FINANCIAL | FISCALLY FIT WEALTH STRATEGIES | FIRST HEARTLAND FINANCIAL GROUP | FINANCIAL CONCEPTS INSURANCE & FINANCIAL SERVICES | FARM FINANCIAL STRATEGIES, INC. | FAITH FINANCIAL | EUGENE W. HARRIS & CO. | ENGLER FINANCIAL | DIFEDERICO FINANCIAL | DEBRA L IANUCCI INSURANCE AGENCY, INC DBA DISTINCTIVE FINANCIAL | DAWN GORDON FINANCIAL ADVISORS | DALA FINANCIAL SERVICES, LLC | CREATIVE FINANCIAL STRATEGIES | CORUJO ADVISORY GROUP, LLC | COMPSTON WEALTH MANAGEMENT | COMPREHENSIVE FINANCIAL ADVISORS, LLC | CHUBB SECURITIES CORPORATION | CHISHOLM TRAIL FINANCIAL GROUP | CHARTERED FINANCIAL PLANNING ASSOCIATES LTD | CFS OF PUERTO RICO | CATALDO FINANCIAL GROUP | CAPUTO FINANCIAL GROUP, LLC | C. BEACH BROWN | BCR FINANCIAL SERVICES | BAUMANN FINANCIAL | BAREFOOT FINANCIAL PLANNING | BALDWIN & CLARK ADVISOR SERVICES | APPALACHIAN WEALTH MANAGEMENT | AMERICAN WEALTH MANAGEMENT | ALPHA OMEGA WEALTH PARTNERS | ALL AMERICAN WEALTH | ADVISORS FINANCIAL GROUP
CRD#: 3870 / SEC#: 801-23151, 8-14609
BD
Terminated by SEC on 03/30/2025
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Contact information
Main Address
1301 South Harrison Street, Fort Wayne, IN 46802
Mailing Address
Po Box 2239, Fort Wayne, IN 46801-2239
Phone number
(800) 237-3813
Established
New Hampshire since 01/21/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
655
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | SHAREHOLDER | |
| BONISTEEL, TIMOTHY DAVID | ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4943070 |
| CAMPBELL, CLAUDE A. | ASSISTANT VICE PRESIDENT AND AML OFFICER | 5342571 |
| CORNICK, GREGORY ALLEN | CHAIRMAN AND DIRECTOR | 3132991 |
| DIMONDA, JOHN ROBERT | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1805436 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | FINOP AND TREASURER | 5675524 |
| SHEFTIC, JEFFREY JUDE | VICE PRESIDENT, CHIEF OPERATIONS OFFICER | 1881657 |
| WALTERS, EDWARD NIGEL | SENIOR VICE PRESIDENT | 2391434 |
Regulatory assets under management
| Total Number of Accounts | 21,454 |
| AUM (Assets Under Management) | $ 4,483,164,358 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/26/2023 | ||
| 11/21/2022 |
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.
