James F. Griffith
Professional summary
James F Griffith, who also goes by James Francis Griffith, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Moraga, California and FIDELITY BROKERAGE SERVICES LLC located in Walnut Creek, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James F Griffith's CRS (Customer Relationship Summary).
Certified licenses
Education
Cornell University
Bachelor of Arts (BA) - Economics
1986
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 2001 North Main Street Three Ygnacio Center, Ste 100, Walnut Creek, CA 94596June 15, 2015 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 2001 North Main Street Three Ygnacio Center, Ste 100, Walnut Creek, CA 94596July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 21, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
November 26, 2012 - May 29, 2015
BTIG, LLC
January 3, 2011 - October 17, 2012
VIRTU AMERICAS LLC
August 9, 2010 - January 3, 2011
KNIGHT DIRECT LLC
April 3, 2008 - July 2, 2010
ARITAS SECURITIES LLC
May 30, 2003 - April 4, 2008
NYFIX MILLENNIUM, L.L.C.
April 5, 1999 - June 1, 2001
GLOBAL ATLANTIC DISTRIBUTORS, LLC
April 16, 1998 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 14, 1997 - March 25, 1999
WAMU INVESTMENTS, INC.
May 16, 1996 - July 14, 1997
ASB FINANCIAL SERVICES
July 31, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
July 25, 1995 - May 16, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 25, 1993 - February 3, 1995
WELLS FARGO SECURITIES INC.
September 10, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
February 6, 1992 - June 9, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/18/2022)
(8/1/2023)
(6/16/2015)
(3/31/2025)
(6/7/2021)
(4/7/2023)
(11/26/2019)
(1/9/2024)
(4/29/2021)
(3/7/2022)
(9/13/2022)
(12/7/2022)
(1/7/2019)
(6/23/2015)
(12/2/2019)
(6/15/2015)
(4/12/2021)
(8/10/2020)
(11/30/2018)
(3/31/2025)
(3/7/2022)
(1/17/2017)
Exams
Series 55
Date: 5/31/2006
Limited Representative-Equity Trader ExamFINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
Company Information
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Moraga, CATRUST BUT VERIFY
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