RG
Richard J. Griswold
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CRD#: 2221680
RG
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard John Griswold, CFP® was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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) GRISWOLD CAPITAL STRATEGIES, INC. 272 FIELDSTONE WAY UNIT D, SIMI VALLEY, CA 93065. BEGAN 08/19/2011 AS TAX PREPARER DOING TAX PREPARATION. NOT INVESTMENT RELATED. DEVOTES 20 HOURS A MONTH DURING TAX SEASON, NONE DURING TRADING. 2) CRUMP LIFE INSURANCE; 4135 NORTH FRONT ST, HARRISBURG, PA 17110; 1 HR/MONTH, 0 DURING TRADING; START 1/1/2018; INDEPENDENT INSURANCE AGENT; 3)TBS AGENCY, INC 1776 PLEASANT PLAIN RD FAIRFIELD, IA 52556. BEGAN 08/19/2011 AS INSURANCE AGENT, FOR FIXED ANNUITY SALES ONLY. INVESTMENT RELATED. DEVOTES 0 HRS. 4)Tax Expert at Intuit. Located at 2700 Coast Ave, Mountain View, CA, 94043. The nature of business is Taxation. Started 1/7/2019. His duties include walking people through issues they have preparing their taxes using Turbo Tax. Percentage of time spent doing this activity: 5-10%. He does not have a financial interest in this business. He earns a salary of $6,000-$8,000.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
January 18, 2018 - April 29, 2025
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Simi Valley, CA
Past
January 18, 2018 - April 29, 2025
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Simi Valley, CA
Past
August 19, 2011 - December 5, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Simi Valley, CA
Past
August 19, 2011 - December 5, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Simi Valley, CA
Past
October 23, 2009 - August 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WESTLAKE VILLAGE, CA
Past
October 23, 2009 - August 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WESTLAKE VILLAGE, CA
Past
July 30, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
VENTURA, CA
Past
July 27, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
VENTURA, CA
Past
April 2, 2007 - August 1, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
GLENDALE, CA
Past
April 2, 2007 - August 1, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
GLENDALE, CA
Past
November 30, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
GLENDALE, CA
Past
January 21, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
GLENDALE, CA
Past
July 10, 1998 - February 17, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 21, 1996 - July 24, 1998
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
February 3, 1994 - November 9, 1994
MONTANO SECURITIES CORPORATION
BD
CRD#: 7887
ORANGE, CA
Past
February 23, 1993 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
BD
CRD#: 13741
EL PASO, TX
Past
November 23, 1992 - December 15, 1992
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
