Patrick E. 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.
Patrick Edward Griffin was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1969. Patrick had worked at 8 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 1993 - June 23, 1995
C. CHAPPELLET SECURITIES, INC.
December 6, 1988 - December 7, 1990
DRIZOS INVESTMENTS, INC.
June 30, 1986 - September 28, 1988
COMMONWEALTH SECURITIES AND INVESTMENTS, INC.
February 16, 1982 - May 30, 1986
PRESCOTT, BALL & TURBEN, INC.
May 4, 1976 - February 17, 1982
ZAPPALA & COMPANY, INC.
November 16, 1972 - April 14, 1974
FIFTH THIRD SECURITIES, INC.
September 2, 1971 - December 16, 1972
ARTHURS, LESTRANGE & COMPANY INCORPORATED
October 8, 1969 - June 9, 1975
THE TRIMBUR SECURITIES CORPORATION
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
Series 1
Date: 5/22/1964
Registered Representative ExaminationSeries 00
Date: 8/18/1969
General Securities Principal ExaminationCurrent Firm
C. CHAPPELLET SECURITIES, INC.
CRD#: 30909 / SEC#: , 8-45228
Contact information
Documents
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.
