Scott S. Griffin

GRIFFIN FINANCIAL SERVICES

Rotterdam Junction, NY

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CRD#: 2215459

Professional summary

Scott Stephen Griffin is a registered financial advisor currently at GRIFFIN FINANCIAL SERVICES located in Rotterdam Junction, New York and APW CAPITAL, INC. located in Rockaway, New Jersey.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1-GRIFFIN FINANCIAL SERVICES - RIA, SOLE PROP AND OWNER SINCE 10/94, 40% OF TIME SPENT $20K PER YEAR IN ANNUAL FEES. LIFE, ACCIDENT AND HEALTH INSURANCE; 2-Griffin Consulting Services, Investment related:No, 14 Riverview Dr., Rotterdam Junction, NY, 12150, Used for Payroll only, President, 02/03/2022, 0, None, S-Corp used for payroll W-2 pay only.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Stephen 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

April 1, 2022 - Present

GRIFFIN FINANCIAL SERVICES

RIA

CRD#: 125990

Rotterdam Junction, NY

Current

March 16, 2005 - Present

APW CAPITAL, INC.

Office #1: 100 Enterprise Drive, Rockaway, NJ 07866

CRD#: 43814

Rockaway, NJ

Past

March 4, 2015 - December 8, 2017

GRIFFIN FINANCIAL SERVICES

RIA

CRD#: 125990

DELMAR, NY

Past

April 28, 1999 - March 4, 2005

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

February 14, 1997 - January 1, 1999

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

June 28, 1995 - February 14, 1997

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 6, 1992 - July 7, 1995

BAIRD, PATRICK & CO., INC.

CRD#: 1149

FAIRFIELD, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arkansas
(4/23/2024)

California
(3/13/2024)

Connecticut
(3/13/2024)

District of Columbia
(3/14/2024)

Florida
(3/14/2024)

Georgia
(3/14/2024)

Hawaii
(10/30/2024)

Indiana
(3/18/2024)

Iowa
(3/15/2024)

Maryland
(3/26/2024)

Massachusetts
(3/12/2024)

Minnesota
(3/12/2024)

New Hampshire
(3/15/2024)

New Jersey
(3/12/2024)

New Mexico
(3/13/2024)

New York
(3/16/2005)

IAR

New York
(4/1/2022)

North Carolina
(3/12/2024)

North Dakota
(10/27/2025)

Ohio
(3/12/2024)

Oregon
(3/12/2024)

Pennsylvania
(3/13/2024)

Rhode Island
(3/22/2024)

Texas
(3/13/2024)

Vermont
(3/13/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/22/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/7/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 3/10/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/3/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 12/7/1999

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GRIFFIN FINANCIAL SERVICES

GRIFFIN FINANCIAL SERVICES | SCOTT S. GRIFFIN

CRD#: 125990 / SEC#:

Connecticut

Registered Investment Advisory firm - (12/8/2017 Terminated)

New York

Registered Investment Advisory firm - (12/29/1998 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

14 Riverview Dr., Rotterdam Junction, NY 12150

Mailing Address

Phone number

(518) 424-5491

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 7,150,000

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

Scott S. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

APW CAPITAL, INC.

GRIFFIN FINANCIAL SERVICES

INVESTORS CAPITAL CORP.

SUNPOINT SECURITIES, INC.

SECURITIES AMERICA, INC.

BAIRD, PATRICK & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/22/2021

Series 63

Date: 5/7/1992

Series 52TO

Date: 3/10/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/3/1992

Series 27

Date: 12/7/1999

Series 24

Date: 10/15/1996

FINRA

Current Firm

GRIFFIN FINANCIAL SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GRIFFIN FINANCIAL SERVICES

TRUST BUT VERIFY

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