William C. Griffis
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 Campbell Griffis, who also goes by William C Griffis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 9 firms and has passed the Series 65, Series 63, 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
September 20, 2013 - March 1, 2016
RCM WEALTH ADVISORS
December 21, 2011 - September 18, 2013
WELLS FARGO CLEARING SERVICES, LLC
December 21, 2011 - September 18, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 6, 2008 - December 23, 2011
EDWARD JONES
September 15, 2008 - December 23, 2011
EDWARD JONES
November 25, 2003 - April 25, 2008
LPL FINANCIAL LLC
November 25, 2003 - April 25, 2008
LPL FINANCIAL LLC
October 22, 2002 - November 26, 2003
PARK AVENUE SECURITIES LLC
September 11, 2002 - November 26, 2003
PARK AVENUE SECURITIES LLC
September 15, 1999 - August 19, 2002
ALLMERICA INVESTMENT MANAGEMENT CO INC
June 14, 1999 - August 16, 2002
VERAVEST INVESTMENTS, INC.
March 10, 1987 - June 7, 1999
IDS LIFE INSURANCE COMPANY
March 10, 1987 - June 7, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
RCM WEALTH ADVISORS
CRD#: 153641 / SEC#: 801-92177
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
RCM WEALTH ADVISORS
CRD#: 153641 / SEC#: 801-92177
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 941 |
| AUM (Assets Under Management) | $ 324,000,000 |
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.
