GG
Gregory S. Griffith
U.S. BANCORP INVESTMENTS
Sevierville, TN 37862
Some features on this profile are disabled
CRD#: 1849538
GG
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 INVESTMENTS, INC. located in Sevierville, 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 17 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
Greg Scott Griffith | Greg Griffith Sr | Greg Griffith | Gregory Scott Griffith 1st | Gregory Scott Griffith Sr | Gregory Scott Griffith
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.
(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.
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
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 6, 2025 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 901 Parkway, Sevierville, TN 37862Office #2: 607 Market St, Knoxville, TN 37902Office #3: 6000 Kingston Pike, Knoxville, TN 37919Office #4: 10304 Chapman Hwy, Seymour, TN 37865Office #5: 10626 Hardin Valley Rd, Knoxville, TN 37932Office #6: 8845 Kingston Pike, Knoxville, TN 37923Office #7: 417 Foothills Mall Dr, Maryville, TN 37801RIA
BD
CRD#: 17868
Sevierville, TN
Current
May 6, 2025 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 901 Parkway, Sevierville, TN 37862Office #2: 607 Market St, Knoxville, TN 37902Office #3: 6000 Kingston Pike, Knoxville, TN 37919Office #4: 10304 Chapman Hwy, Seymour, TN 37865Office #5: 10626 Hardin Valley Rd, Knoxville, TN 37932Office #6: 8845 Kingston Pike, Knoxville, TN 37923Office #7: 417 Foothills Mall Dr, Maryville, TN 37801RIA
BD
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.
BD
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
BD
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.
BD
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.
BD
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
BD
CRD#: 8209
KNOXVILLE, TN
Past
November 15, 2006 - May 18, 2007
INVESTACORP, INC.
BD
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.
BD
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.
BD
CRD#: 17117
MEMPHIS, TN
Past
June 17, 1999 - February 26, 2002
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
September 5, 1997 - June 11, 1999
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
February 28, 1997 - June 13, 1997
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
October 4, 1990 - March 11, 1997
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
September 20, 1988 - January 30, 1989
BLINDER, ROBINSON & CO., INC.
BD
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".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Tennessee(5/6/2025)
IAR
Tennessee(5/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/15/1995
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
