Stephen P. Griffin
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.
Stephen Patrick Griffin was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 6 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2013 - September 17, 2013
CABIN SECURITIES, INC.
August 31, 2011 - December 31, 2011
CCF INVESTMENTS, INC.
August 13, 2002 - July 23, 2004
CETERA WEALTH SERVICES, LLC
January 1, 1999 - May 16, 2002
LPL FINANCIAL LLC
February 27, 1998 - May 16, 2002
LPL FINANCIAL LLC
August 5, 1996 - January 13, 1998
PRUDENTIAL EQUITY GROUP, LLC
May 1, 1995 - August 5, 1996
LPL FINANCIAL LLC
July 24, 1992 - March 2, 1994
PRUDENTIAL EQUITY GROUP, LLC
June 23, 1992 - July 23, 1992
FIRST AMERICAN BILTMORE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CABIN SECURITIES, INC.
CRD#: 137608 / SEC#: , 8-67097
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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