Johanna Griffin
Professional Summary
Johanna Griffin, who also goes by Johanna M Griffin, is a registered financial advisor currently at ARCOLA SECURITIES, INC. located in New York, New York. Johanna is registered as a RR (Registered Representative) and started their career in finance in 1989. Johanna has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Johanna M Griffin
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
ARCOLA SECURITIES, INC. | RCAP SECURITIES, INC. | RANGER CAPITAL CORP. | RANGER CAPITAL CORP
Contact Information
Main Address
1211 Avenue Of The Americas 41st Floor, New York, NY, 10036Mailing Address
1211 Avenue Of The Americas 41st Floor, New York, NY, 10036Phone Number
(646) 829-0141Established
Maryland since 07/03/2008Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANNALY TRS, INC. | SHAREHOLDER | — |
| GRIFFIN, JOHANNA | DIRECTOR | 2008809 |
| HERNANDEZ, MIKE | CFO/FINOP, TREASURER | 3042594 |
| HUNT, JON THOMAS | DIRECTOR, PRESIDENT | 2929809 |
| KOUKOURAS, PANAGIOTI | DIRECTOR | 4694542 |
| MCKIM, JASON DAVID | GENERAL COUNSEL, SECRETARY | 6333143 |
| TRUZZI, ROCHELLE ANN | CHIEF COMPLIANCE OFFICER, AMLCO | 2754706 |
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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.
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State Registrations and Notice Filings
(1/27/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Johanna Griffin's CRS (Customer Relationship Summary).
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