Garth E. Griffiths
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.
Garth Edward Griffiths was a registered financial professional .
Garth is a previously registered financial professional and started their career in finance in 1987. Garth had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2014 - May 2, 2018
BLAYLOCK VAN, LLC
July 13, 2012 - October 24, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 3, 2006 - July 9, 2012
KEYBANC CAPITAL MARKETS INC.
November 30, 2005 - April 11, 2006
RYAN BECK & CO.
June 20, 1996 - December 1, 2005
CIBC WORLD MARKETS CORP.
July 31, 1995 - January 5, 1996
GLICKENHAUS & CO.
September 12, 1991 - March 16, 1995
MORGAN STANLEY DW INC.
June 22, 1988 - September 13, 1991
ROOSEVELT & CROSS, INCORPORATED
December 3, 1987 - May 24, 1988
LEBENTHAL & CO., INC.
September 21, 1987 - November 4, 1987
J.P. MORGAN SECURITIES INC.
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
BLAYLOCK VAN, LLC
CRD#: 145317 / SEC#: 801-69136, 8-67721
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBERT VAN SECURITIES, INC | SOLE VOTING MEMBER | |
| BLAYLOCK & COMPANY, INC | NON-VOTING MEMBER | |
| CIULLA, ALEXANDER JOHN | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2635660 |
| HOUGH, JERVIS BENNETT | BD CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER | 4291302 |
| KALISPEL TRIBAL ECONOMIC AUTHORITY | NON-VOTING MEMBER | |
| SEAPORT GLOBAL SECURITIES LLC | SHAREHOLDER | 116270 |
| STANDIFER, ERIC VAN | MANAGER; CEO; GSP; MSP | 1025776 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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