David W. Griffis

NAPLES GLOBAL ADVISORS

VERO BEACH, FL 32963

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CRD#: 1964522

Professional summary

David Ward Griffis, who also goes by Dave Griffis, David Griffis, is a registered financial advisor currently at NAPLES GLOBAL ADVISORS located in Vero Beach, Florida.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. David has worked at 6 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Griffis | David Griffis

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 David Ward Griffis'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

August 9, 2017 - Present

NAPLES GLOBAL ADVISORS

Office #1: 3003 Cardinal Drive Suite E, Vero Beach, FL 32963

RIA

CRD#: 158544

VERO BEACH, FL

Past

October 11, 2004 - July 6, 2005

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

May 5, 2004 - July 6, 2005

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

INDIANAPOLIS, IN

Past

January 16, 2003 - June 17, 2003

BANC ONE INVESTMENT ADVISORS CORP

RIA

CRD#: 107247

COLUMBUS, OH

Past

December 8, 1992 - December 14, 1999

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

November 16, 1992 - December 8, 1992

BANC ONE SECURITIES CORPORATION

CRD#: 16999

Past

August 9, 1990 - November 16, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 9, 1990 - November 16, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

NAPLES GLOBAL ADVISORS

NAPLES GLOBAL ADVISORS | VERO BEACH GLOBAL ADVISORS | NAPLES GLOBAL ADVISORS LLC

CRD#: 158544 / SEC#: 801-72600

RIA

Registered Investment Advisory firm - (8/4/2011 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Florida
(8/9/2017)

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.

Exams

State Security Law Exam

Series 63

Date: 6/14/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/8/1990

General Securities Representative Examination

Current Firm

NAPLES GLOBAL ADVISORS

NAPLES GLOBAL ADVISORS | VERO BEACH GLOBAL ADVISORS | NAPLES GLOBAL ADVISORS LLC

CRD#: 158544 / SEC#: 801-72600

RIA

Registered Investment Advisory firm - (8/4/2011 Approved)

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Contact information

Main Address

720 5th Avenue South Ste. 200, Naples, FL 34102

Mailing Address

Phone number

(239) 776-7900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B (3/20/2025)

ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,688
AUM (Assets Under Management)	$ 1,654,697,768

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
01/27/2025	Cover Page	Report
03/25/2024	Cover Page	Report
01/03/2023	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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Advisor Monitoring

Firm Stability Insights

David W. Griffis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Ward Griffis's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

BANC ONE INVESTMENT ADVISORS CORP

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NAPLES GLOBAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 6/14/1989

Series 7

Date: 8/8/1990

Current Firm

NAPLES GLOBAL ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NAPLES GLOBAL ADVISORS

TRUST BUT VERIFY

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