Johanna Griffin

ARCOLA SECURITIES

New York, NY 10036

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CRD#: 2008809

Professional summary

Johanna Griffin, who also goes by Johanna M Griffin, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Johanna M Griffin

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) - BD

Click below to view Johanna Griffin's 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

January 27, 2016 - Present

ARCOLA SECURITIES, INC.

Office #1: 1211 Avenue Of The Americas 41st Floor, New York, NY, 10036

CRD#: 147952

New York, NY

Past

September 15, 2010 - November 6, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

October 10, 2007 - January 14, 2009

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 12, 2001 - May 4, 2007

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

November 16, 1994 - March 12, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 20, 1993 - January 13, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 22, 1989 - March 30, 1993

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

November 22, 1989 - March 30, 1993

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

November 22, 1989 - March 30, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(1/27/2016)

Exams

State Security Law Exam

Series 63

Date: 4/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/30/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/18/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ARCOLA SECURITIES, INC.

ARCOLA SECURITIES, INC. | RCAP SECURITIES, INC. | RANGER CAPITAL CORP. | RANGER CAPITAL CORP

CRD#: 147952 / SEC#: , 8-67940

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1211 Avenue Of The Americas 41st Floor, New York, NY, 10036

Mailing Address

1211 Avenue Of The Americas 41st Floor, New York, NY, 10036

Phone number

(646) 829-0141

Established

Maryland since 07/03/2008

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 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

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

Johanna Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Johanna Griffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

UBS SECURITIES LLC

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/1994

SIE

Date: 10/1/2018

Series 3

Date: 6/30/1994

Series 7

Date: 12/18/1993

Series 24

Date: 7/9/2021

FINRA

Current Firm

ARCOLA SECURITIES, INC.

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ARCOLA SECURITIES, INC.

TRUST BUT VERIFY

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