Patricia A. Ginngriffeth
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.
Patricia Anne Ginngriffeth, who also goes by Pat Ginngriffeth, Patrica Anne Ginngriffeth, Pat Griffeth, Patricia Ginn Griffeth, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1986. Patricia had worked at 9 firms and has passed the Series 66, 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 18, 2016 - February 6, 2017
TRUIST ADVISORY SERVICES, INC.
February 2, 2006 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
January 3, 2005 - February 2, 2017
TRUIST INVESTMENT SERVICES, INC.
August 17, 2004 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
January 4, 1999 - August 4, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 2, 1996 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
May 31, 1994 - April 2, 1996
WACHOVIA BROKERAGE SERVICE
March 22, 1990 - May 31, 1994
CAPITAL BROKERAGE CORPORATION
July 19, 1989 - March 7, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
October 14, 1986 - July 19, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
