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Christopher William Griffin

CRD# 2241459·Registered 1992 - 1995
Previously Registered: Being a previously registered professional could mean that Christopher 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.

Professional Summary

Christopher William Griffin was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 1992 - 1995. Christopher had worked at 8 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

34 years in the financial services industry

Current & Past Employments

CHATFIELD DEAN & CO., INC.·CRD# 14714
BD
Greenwood Village, CO
May 11, 1995 - November 8, 1995
LT LAWRENCE & CO., INC.·CRD# 31956
BD
New York, NY
May 31, 1994 - September 6, 1994
H.J. MEYERS & CO., INC.·CRD# 15609
BD
Rochester, NY
January 13, 1994 - April 6, 1994
BERKELEY SECURITIES CORPORATION·CRD# 8397
BD
New York, NY
August 2, 1993 - February 11, 1994
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
April 15, 1993 - July 22, 1993
FIRST ASSET MANAGEMENT, INC.·CRD# 17341
BD
Garden City, NY
December 17, 1992 - March 10, 1993
REICH & CO., INC.·CRD# 19611
BD
July 29, 1992 - December 18, 1992
COMMONWEALTH ASSOCIATES·CRD# 20833
BD
New York, NY
July 15, 1992 - August 20, 1992

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Current Firm

CD
CHATFIELD DEAN & CO., INC.

CHATFIELD DEAN & CO., INC. | DENARI SECURITIES, INC. | CHATFIELD INVESTMENT CO.

CRD#: 14714 / SEC#: 8-31004
BD
Terminated by SEC on 06/28/1999

Contact Information

Established

Colorado since 11/14/1983

Firm Type

Corporation

Fiscal Year End

September

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1992About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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