Joseph D. Griffith
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.
Joseph Donald Griffith JR, who also goes by J D Griffith, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 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
February 8, 2017 - March 24, 2017
CHELSEA FINANCIAL SERVICES
October 20, 2015 - December 31, 2016
CETERA INVESTMENT ADVISERS LLC
September 25, 2015 - December 31, 2016
SUMMIT BROKERAGE SERVICES, INC.
January 21, 2009 - November 13, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
November 12, 2008 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
May 3, 2006 - November 17, 2008
FIRST MONTAUK SECURITIES CORP.
March 16, 2004 - December 31, 2005
FIRST MONTAUK SECURITIES CORP.
November 5, 1991 - November 17, 2008
FIRST MONTAUK SECURITIES CORP.
October 16, 1989 - November 6, 1991
SUNAMERICA SECURITIES, INC.
September 20, 1988 - August 28, 1989
PARKER/HUNTER INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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