Gregory S. Griffith

U.S. BANCORP ADVISORS

KNOXVILLE, TN 37923

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CRD#: 1849538

Professional summary

Gregory Scott Griffith Sr, who also goes by Greg Scott Griffith, Greg Griffith Sr, Greg Griffith, Gregory Scott Griffith 1st, Gregory Scott Griffith Sr, Gregory Scott Griffith, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Knoxville, Tennessee.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Gregory has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Scott Griffith Sr's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gregory Scott Griffith Sr's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 8845 Kingston Pike, Knoxville, TN 37923Office #2: 6000 Kingston Pike, Knoxville, TN 37919Office #3: 607 Market St, Knoxville, TN 37902Office #4: 901 Parkway, Sevierville, TN 37862Office #5: 10304 Chapman Hwy, Seymour, TN 37865Office #6: 10626 Hardin Valley Rd, Knoxville, TN 37932Office #7: 417 Foothills Mall Dr, Maryville, TN 37801

RIA

CRD#: 14455

KNOXVILLE, TN

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

KNOXVILLE, TN

Past

May 6, 2025 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

Sevierville, TN

Past

May 6, 2025 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

Sevierville, TN

Past

January 18, 2019 - May 8, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Sevierville, TN

Past

January 17, 2019 - May 8, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Sevierville, TN

Past

August 7, 2018 - January 17, 2019

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MARYVILLE, TN

Past

August 2, 2018 - January 17, 2019

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MARYVILLE, TN

Past

November 30, 2017 - August 10, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Sevierville, TN

Past

November 30, 2017 - August 10, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SEVIERVILLE, TN

Past

January 2, 2009 - December 4, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SEVIERVILLE, TN

Past

November 13, 2007 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

SEVIERVILLE, TN

Past

November 5, 2007 - December 4, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SEVIERVILLE, TN

Past

May 24, 2007 - November 6, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

KNOXVILLE, TN

Past

May 23, 2007 - November 6, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

KNOXVILLE, TN

Past

November 15, 2006 - May 18, 2007

INVESTACORP, INC.

CRD#: 7684

SEVIERVILLE, TN

Past

June 23, 2006 - November 2, 2006

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

MEMPHIS, TN

Past

May 31, 2006 - October 31, 2006

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

JEFFERSON CITY, TN

Past

March 17, 2004 - November 3, 2004

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

KNOXVILLE, TN

Past

March 24, 2003 - November 3, 2004

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

June 17, 1999 - February 26, 2002

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

September 5, 1997 - June 11, 1999

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

February 28, 1997 - June 13, 1997

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

October 4, 1990 - March 11, 1997

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 20, 1988 - January 30, 1989

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles 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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Tennessee
(2/13/2026)

IAR

Tennessee
(2/13/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/16/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/14/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 9/15/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203

Mailing Address

800 N Brand Blvd. 16th Floor, Glendale, CA, 91203

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

244

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USBA WRAP BROCHURE - PART 2A APPENDIX 1 - 12/12/2025 (12/12/2025)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	SOLE MEMBER
BEJASA, EILEEN	SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS	7002808
CANEVA, DANIEL CESAR	SVP CHIEF OPERATIONS OFFICER	1686099
CLARK, SHANNON KEITH	CHIEF FINANCIAL OFFICER	5829700
ELY, JAMES EUGENE JR.	SENIOR VICE PRESIDENT - SALES	1843373
FERGUSON, KIMBERLY NICOLE	CHIEF EXECUTIVE OFFICER AND MANAGER	4120145
LAWLOR, BETH DEDRICK	EXECUTIVE VICE PRESIDENT	5352662
ROLLAND, JODI THOMPSON	MANAGER	2290884
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER	5025315
TRIPLETT, SHANE T	INSTITUTIONAL SALES MANAGER	1865319

Regulatory assets under management

Total Number of Accounts	3,905
AUM (Assets Under Management)	$ 1,516,483,817

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

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.

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Gregory S. Griffith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Scott Griffith Sr's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Gregory Scott Griffith Sr's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

INVESTACORP, INC.

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

SECURITIES SERVICE NETWORK, LLC

ROBERT THOMAS SECURITIES, INC

CHARLES SCHWAB & CO., INC.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/16/2007

Series 63

Date: 7/29/1988

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1988

Series 24

Date: 4/14/2008

Series 8

Date: 9/15/1995

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP ADVISORS, LLC

TRUST BUT VERIFY

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