Martin T. Griffin
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.
Martin Thomas Griffin was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1989. Martin had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 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
September 25, 2020 - December 31, 2020
LASALLE ST SECURITIES, L.L.C.
August 14, 2009 - September 28, 2018
AUGUSTAR DISTRIBUTORS, INC.
January 1, 2007 - July 2, 2008
RIVERSOURCE DISTRIBUTORS, INC.
August 24, 2005 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 1997 - June 13, 2005
CAPITAL BROKERAGE CORPORATION
February 8, 1991 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
May 1, 1989 - October 11, 1990
AON SECURITIES LLC
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
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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