Gregory Scott Griffith Sr

FALCON WEALTH PLANNING, LLC

San Jose, CA · CRD#

SEQUOIA FINANCIAL GROUP, L.L.C.

AKRON, OH · CRD#

KEY INVESTMENT SERVICES LLC

BROOKLYN, OH · CRD#

LPL FINANCIAL LLC

GAITHERSBURG, MD · CRD#

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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San Jose, CA · CRD#

SEQUOIA FINANCIAL GROUP, L.L.C.

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Years of Experience

38 years registered in the securities industry

Current & Past Employments

Current

U.S. BANCORP ADVISORS, LLCCurrent·CRD# 14455

RIA

BD

1. 607 Market St, Knoxville, TN 379022. 901 Parkway, Sevierville, TN 378623. 10304 Chapman Hwy, Seymour, TN 378654. 417 Foothills Mall Dr, Maryville, TN 37801

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLCCurrent·CRD# 14455

RIA

BD

1. 607 Market St, Knoxville, TN 379022. 901 Parkway, Sevierville, TN 378623. 10304 Chapman Hwy, Seymour, TN 378654. 417 Foothills Mall Dr, Maryville, TN 37801

February 13, 2026 - Present

Past

U.S. BANCORP INVESTMENTS, INC.Past·CRD# 17868

RIA

Sevierville, TN

May 6, 2025 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.Past·CRD# 17868

BD

Sevierville, TN

May 6, 2025 - February 13, 2026

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCPast·CRD# 149018

RIA

Sevierville, TN

January 18, 2019 - May 8, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.Past·CRD# 6694

BD

Sevierville, TN

January 17, 2019 - May 8, 2025

CETERA INVESTMENT ADVISERS LLCPast·CRD# 105644

RIA

Maryville, TN

August 7, 2018 - January 17, 2019

CETERA INVESTMENT SERVICES LLCPast·CRD# 15340

BD

Maryville, TN

August 2, 2018 - January 17, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Past·CRD# 134139

RIA

Sevierville, TN

November 30, 2017 - August 10, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.Past·CRD# 39543

BD

Sevierville, TN

November 30, 2017 - August 10, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCPast·CRD# 149018

RIA

Sevierville, TN

January 2, 2009 - December 4, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.Past·CRD# 6694

BD

Sevierville, TN

November 5, 2007 - December 4, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.Past·CRD# 6694

RIA

Sevierville, TN

November 13, 2007 - January 2, 2009

MORGAN STANLEY & CO. LLCPast·CRD# 8209

RIA

Knoxville, TN

May 24, 2007 - November 6, 2007

MORGAN STANLEY & CO. LLCPast·CRD# 8209

BD

Knoxville, TN

May 23, 2007 - November 6, 2007

INVESTACORP, INC.Past·CRD# 7684

BD

Sevierville, TN

November 15, 2006 - May 18, 2007

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLCPast·CRD# 111757

RIA

Memphis, TN

June 23, 2006 - November 2, 2006

AMSOUTH INVESTMENT SERVICES, INC.Past·CRD# 15692

BD

Jefferson City, TN

May 31, 2006 - October 31, 2006

FIRST HORIZON ADVISORS, INC.Past·CRD# 17117

RIA

Knoxville, TN

March 17, 2004 - November 3, 2004

FIRST HORIZON ADVISORS, INC.Past·CRD# 17117

BD

Memphis, TN

March 24, 2003 - November 3, 2004

UVEST FINANCIAL SERVICES GROUP, INC.Past·CRD# 13787

BD

Charlotte, NC

June 17, 1999 - February 26, 2002

SECURITIES SERVICE NETWORK, LLCPast·CRD# 13318

BD

Knoxville, TN

September 5, 1997 - June 11, 1999

ROBERT THOMAS SECURITIES, INCPast·CRD# 10147

BD

St. Petersburg, FL

February 28, 1997 - June 13, 1997

CHARLES SCHWAB & CO., INC.Past·CRD# 5393

BD

Westlake, TX

October 4, 1990 - March 11, 1997

BLINDER, ROBINSON & CO., INC.Past·CRD# 5096

BD

September 20, 1988 - January 30, 1989

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San Jose, CA · CRD#

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AKRON, OH · CRD#

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BROOKLYN, OH · CRD#

LPL FINANCIAL LLC

GAITHERSBURG, MD · CRD#

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

UB

U.S. BANCORP ADVISORS, LLC

CRD#: 14455 / SEC#: 801-70084, 8-30706

RIA

Registered Investment Advisory firm - SEC (8/14/2009 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2009 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/24/2009 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

60 Livingston Ave Ep-mn-n2wc, Saint Paul, MN 55107

Mailing Address

60 Livingston Ave Ep-mn-n2wc, St. Paul, MN 55107

Phone Number

(800) 634-1100

Established

Delaware since 06/28/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

# of Employees

379

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Part 2 Brochures

USBA WRAP BROCHURE - PART 2A APPENDIX 1 (7/31/2026)

PART 2A OF FORM ADV - FINANCIAL PLANNING SERVICES (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	SOLE MEMBER	—
ARIAS, CARLOS ALONSO	MANAGER	3174333
BEJASA, EILEEN	MANAGER	7002808
CLARK, SHANNON KEITH	CHIEF FINANCIAL OFFICER AND MANAGER	5829700
FERGUSON, KIMBERLY NICOLE	PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER	4120145
FLOUM, JOEL IRA	MANAGER	2405754
MCCARTHY, MATTHEW RYAN	CHIEF LEGAL OFFICER	6818984
MENACHER, EILEEN RENEE	MANAGER	4929896
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER AND MANAGER	5025315
STEINER, STEPHEN WARD	CHIEF OPERATIONS OFFICER AND MANAGER	2259345
TRIPLETT, SHANE T	MANAGER	1865319

Regulatory Assets Under Management

Total Number of Accounts

3,992

AUM (Assets Under Management)

$1,796,069,079

Disclosures

Regulatory Event

4

Arbitration

1

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/19/2025	Cover Page	Report
08/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report
11/21/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

(1) The Tennessee Rangers Organization; Investment-related; Nashville, TN; Non-profit constibulary services to state of TN residents and public; Treasurer, Board of Directors; 01/2019; 2-5 hours/month; 0 hours/trading; Assist with the organization's donations received, expenses allocated, Board decisions made on all organization aspects.

(2) Responsible Solutions Holding LLC; Not investment-related; Sevierville, TN; Internet technology and webhosting services; Owner; 8/2022; 5-10 hours/month; 0 hours/trading; Assist IT programmers/developers with guidance, direction, and IT service/product access through other third party vendor options (GoDaddy, Adobe, etc.).

(3) Sevier County Reserve Deputy Sheriff; Not investment-related; Sevierville, TN; Charitable community service to the Sheriff's office and community of Sevier County; Reserve Deputy Sheriff; 7/2023; 8 hours/month; 0 hours/trading; Provide the highest quality law enforcement service to our citizens, this program focuses on the type of community policing that involves benevolence.

(4) Lakeway CASA; Not investment-related; Morristown, TN; Charitable, Non-profit; Board Member; Board Member; 10/1/2024; 2 Hours/mo; 0 Hours/trading; Assist in fundraising, event planning, policy, marketing/public relations, social networking/community relations, child welfare, and volunteer recruitment/services.

Similar Advisors

FALCON WEALTH PLANNING, LLC

San Jose, CA · CRD#

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AKRON, OH · CRD#

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BROOKLYN, OH · CRD#

LPL FINANCIAL LLC

GAITHERSBURG, MD · CRD#