Edwin 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.
Edwin Pace Griffin, who also goes by Pace Griffin, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1969. Edwin had worked at 11 firms and has passed the Series 63, Series 3, PC, Series 1, Series 8, Series 27, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 1994 - November 9, 1994
ATHENA CAPITAL CORPORATION
April 29, 1993 - June 20, 1994
HENDERSON SECURITIES, INC.
July 8, 1991 - March 18, 1994
THE RAUSCHER COMPANY, INC.
May 29, 1991 - September 21, 1993
TEXAS ARIZONA SECURITIES, INC.
July 19, 1990 - June 18, 1993
ACS MUNICIPAL BROKERS, INC.
July 26, 1985 - July 3, 1989
RAUSCHER PIERCE REFSNES, INC.
January 31, 1982 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
January 29, 1982 - July 9, 1985
THOMSON MCKINNON SECURITIES INC.
February 27, 1975 - January 19, 1989
ILG SECURITIES CORPORATION
March 29, 1974 - January 18, 1982
RAUSCHER PIERCE REFSNES, INC.
November 18, 1970 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
September 17, 1969 - November 2, 1973
RAUSCHER PIERCE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 12/5/1955
Registered Representative ExaminationSeries 8
Date: 9/4/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 2/27/1968
Registered Principal ExaminationCurrent Firm
ATHENA CAPITAL CORPORATION
CRD#: 35941 / SEC#: , 8-46929
Contact information
Documents
Red Flags
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