David Michael Griffith
Professional Summary
David Michael Griffith is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
R.K. SECURITIES | RANCE KING SECURITIES CORP.
Contact Information
Main Address
3737 E. Broadway, Long Beach, CA 90803-6104Mailing Address
3737 E. Broadway, Long Beach, CA 90803-6104Phone Number
(562) 240-1000Established
California since 06/29/1984Firm Type
CorporationFiscal Year End
JanuaryFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(12/11/2019)
(10/24/2019)
(7/16/2019)
(7/26/2019)
(6/2/2005)
(7/16/2019)
(1/9/2020)
(8/19/2019)
(3/9/2020)
(7/16/2019)
(7/16/2019)
(10/4/2019)
(7/19/2019)
(5/29/2019)
(8/9/2019)
(7/16/2019)
(8/16/2019)
(7/22/2019)
(7/22/2019)
(10/23/2019)
(7/16/2019)
(5/7/2019)
(8/23/2019)
(4/9/2020)
(7/19/2019)
(8/26/2019)
(11/6/2019)
(11/12/2019)
(7/31/2019)
(10/17/2019)
(3/10/2020)
(8/28/2019)
(10/9/2019)
(7/16/2019)
(8/20/2019)
(8/6/2019)
(7/22/2019)
(7/16/2019)
(7/22/2019)
(7/19/2019)
(9/3/2019)
(7/19/2019)
(10/31/2019)
(11/7/2017)
(7/16/2019)
(12/12/2019)
(7/16/2019)
(7/16/2019)
(6/2/2020)
(8/5/2019)
(10/30/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed May 2005About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed May 2005About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Michael Griffith's CRS (Customer Relationship Summary).
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