DG
David M. Griffith
RANCE KING SECURITIES
Long Beach, CA 90803-6104
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CRD#: 1586738
DG
Professional summary
David Michael Griffith is a registered financial professional currently at RANCE KING SECURITIES CORP. located in Long Beach, California.
David is registered as a RR (Registered Representative) and started their career in finance in 2005. David has worked at 1 firm and has passed the Series 63, SIE, Series 99, Series 22 and Series 39 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.
CRS (Client Relationship Summary) - BD
Click below to view David Michael Griffith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 18, 2005 - Present
RANCE KING SECURITIES CORP.
Office #1: 3737 E. Broadway, Long Beach, CA 90803-6104Office #2: 3737 E Broadway, Long Beach, CA 90803BD
CRD#: 15737
Long Beach, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/11/2019)
RR
Alaska(10/24/2019)
RR
Arizona(7/16/2019)
RR
Arkansas(7/26/2019)
RR
California(6/2/2005)
RR
Colorado(7/16/2019)
RR
Connecticut(1/9/2020)
RR
Delaware(8/19/2019)
RR
District of Columbia(3/9/2020)
RR
Florida(7/16/2019)
RR
Georgia(7/16/2019)
RR
Hawaii(10/4/2019)
RR
Idaho(7/19/2019)
RR
Illinois(5/29/2019)
RR
Indiana(8/9/2019)
RR
Iowa(7/16/2019)
RR
Kansas(8/16/2019)
RR
Kentucky(7/22/2019)
RR
Louisiana(7/22/2019)
RR
Maine(10/23/2019)
RR
Maryland(7/16/2019)
RR
Massachusetts(5/7/2019)
RR
Michigan(8/23/2019)
RR
Minnesota(4/9/2020)
RR
Mississippi(7/19/2019)
RR
Missouri(8/26/2019)
RR
Montana(11/6/2019)
RR
Nebraska(11/12/2019)
RR
Nevada(7/31/2019)
RR
New Hampshire(10/17/2019)
RR
New Jersey(3/10/2020)
RR
New Mexico(8/28/2019)
RR
New York(10/9/2019)
RR
North Carolina(7/16/2019)
RR
North Dakota(8/20/2019)
RR
Ohio(8/6/2019)
RR
Oklahoma(7/22/2019)
RR
Oregon(7/16/2019)
RR
Pennsylvania(7/22/2019)
RR
Rhode Island(7/19/2019)
RR
South Carolina(9/3/2019)
RR
South Dakota(7/19/2019)
RR
Tennessee(10/31/2019)
RR
Texas(11/7/2017)
RR
Utah(7/16/2019)
RR
Vermont(12/12/2019)
RR
Virginia(7/16/2019)
RR
Washington(7/16/2019)
RR
West Virginia(6/2/2020)
RR
Wisconsin(8/5/2019)
RR
Wyoming(10/30/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RK
RANCE KING SECURITIES CORP.
R.K. SECURITIES | RANCE KING SECURITIES CORP.
CRD#: 15737 / SEC#: , 8-31539
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
3737 E. Broadway, Long Beach, CA 90803-6104
Mailing Address
3737 E. Broadway, Long Beach, CA 90803-6104
Phone number
(562) 240-1000
Established
California since 06/29/1984
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
