Michael V. Griffo
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.
Michael Vincent Griffo, who also goes by Michael V Griffo, Michael Griffo, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7 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
April 18, 2011 - June 10, 2015
BMA SECURITIES, LLC
January 3, 2011 - May 11, 2011
NOBLE CAPITAL MARKETS, INC.
November 10, 2010 - January 5, 2011
CHARDAN CAPITAL MARKETS LLC
May 16, 2008 - February 24, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
November 2, 2005 - May 22, 2008
SEABOARD SECURITIES, INC.
March 8, 2005 - November 1, 2005
B. RILEY WEALTH MANAGEMENT
July 1, 2003 - March 2, 2005
SEABOARD SECURITIES, INC.
December 7, 2001 - July 25, 2003
PROGRAM TRADING CORP.
May 3, 1999 - December 10, 2001
HUDSON SECURITIES,INC.
September 25, 1995 - September 14, 1998
CANTOR FITZGERALD SECURITIES
April 9, 1991 - May 6, 1992
FUNDAMENTAL BROKERS
January 16, 1990 - March 25, 1991
TULLETT LIBERTY BROKERAGE INC.
September 27, 1989 - January 17, 1990
BCA SECURITIES, L.P.
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
Series 55
Date: 2/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
BMA SECURITIES, LLC
CRD#: 108219 / SEC#: , 8-53073
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
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.
