Neal D. Griffin

22V SECURITIES LLC

GARDEN CITY, NY

Some features on this profile are disabled

CRD#: 2161416

Professional summary

Neal David Evans Griffin, who also goes by Neal D E Griffin, is a registered financial professional currently at 22V SECURITIES LLC located in Garden City, New York.

Neal is registered as a RR (Registered Representative) and started their career in finance in 1991. Neal has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Neal D E 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 Neal David Evans 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

August 13, 2024 - Present

22V SECURITIES LLC

Office #2: 10 East 53rd Street 6th Floor, New York, NY 10021

CRD#: 327657

GARDEN CITY, NY

Past

September 21, 2022 - November 20, 2024

LPS CAPITAL LLC

CRD#: 155246

NEW YORK, NY

Past

December 23, 2015 - September 6, 2022

EVERCORE GROUP L.L.C.

CRD#: 42405

NEW YORK, NY

Past

January 18, 1995 - December 31, 2015

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

CRD#: 28195

NEW YORK, NY

Past

September 19, 1991 - January 22, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 31, 1991 - August 19, 1991

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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

Connecticut
(2/20/2025)

Massachusetts
(8/11/2025)

Montana
(11/18/2024)

New Jersey
(6/10/2025)

New York
(11/13/2024)

Exams

State Security Law Exam

Series 63

Date: 8/5/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 8/13/2024

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/15/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/30/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

22V SECURITIES LLC

CRD#: 327657 / SEC#: , 8-71197

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

15 Rockaway Avenue, Garden City, NY 11530

Mailing Address

15 Rockaway Avenue, Garden City, NY 11530

Phone number

(646) 273-4500

Established

Delaware since 08/04/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CRICKET ACQUISITION LLC	MEMBER
DEBUSSCHERE, DENNIS MICHAEL MR	MEMBER	4133413
GROVE GLOBAL ENTERPRISES LLC	MEMBER
GOODE, JACQUELINE MARIE	FINOP/CCO	1292607
GRIFFIN, NEAL DAVID EVANS	CHIEF EXECUTIVE OFFICER	2161416

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Neal D. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neal David Evans Griffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPS CAPITAL LLC

EVERCORE GROUP L.L.C.

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

UBS FINANCIAL SERVICES INC.

CHATFIELD DEAN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/5/1991

Series 99TO

Date: 8/13/2024

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 9/15/2005

Series 7

Date: 7/30/1991

Series 24

Date: 5/6/2022

FINRA

Current Firm

22V SECURITIES LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

22V SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors