John E. Griz
Professional summary
John Evan Griz, AIF®, who also goes by John Griz, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Simpsonville, South Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Evan Griz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Evan Griz's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2017 - Present
CENTAURUS FINANCIAL, INC.
October 10, 2017 - Present
CENTAURUS FINANCIAL, INC.
March 7, 2013 - August 4, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 1, 2013 - August 4, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 13, 2011 - February 22, 2013
WADDELL & REED
October 13, 2011 - February 22, 2013
WADDELL & REED
January 4, 2006 - September 6, 2011
INVESTORS CAPITAL CORP.
April 23, 2002 - September 6, 2011
INVESTORS CAPITAL CORP.
October 2, 2001 - May 29, 2002
THE CONCORD EQUITY GROUP, LLC
March 14, 2001 - October 8, 2001
CITIGROUP GLOBAL MARKETS INC.
February 16, 1999 - March 29, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
February 12, 1999 - February 17, 1999
CITIGROUP GLOBAL MARKETS INC.
August 22, 1994 - February 19, 1999
PRUDENTIAL EQUITY GROUP, LLC
April 6, 1993 - September 21, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 1992 - November 4, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/11/2017)
(10/12/2017)
(4/24/2020)
(5/15/2020)
(2/25/2019)
(10/11/2017)
(10/13/2017)
(10/12/2017)
(10/12/2017)
Exams
FINRA
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 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.
