Randolph 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.
Randolph Page Griffin was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1968. Randolph had worked at 4 firms and has passed the Series 65, Series 63, Series 1, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 1986 - January 11, 1999
THE ROBINSON-HUMPHREY COMPANY, LLC
May 19, 1978 - March 20, 1986
KIDDER, PEABODY & CO. INCORPORATED
September 9, 1977 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
May 1, 1968 - September 3, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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: 11/14/1955
Registered Representative ExaminationCurrent Firm
THE ROBINSON-HUMPHREY COMPANY, LLC
CRD#: 723 / SEC#: , 8-27190
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SALOMON SMITH BARNEY INC. | OWNER | 7059 |
| CLEMENTS, GEORGE BUNCH | SENIOR VICE PRESIDENT | 48542 |
| DAY, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER | 2344142 |
| JANIAK, A.RICHARD RICHARD JR | CHIEF EXECUTIVE OFFICER AND DIRECTOR | |
| KUKLENSKI, KIRBY JUDE | EXECUTIVE VICE PRESIDENT | 732315 |
| MORGAN, MICHELLE MARIE | CROP | 2413332 |
| SORDIPREITE, VIRGINIA A | CHIEF COMPLIANCE OFFICER | 2007039 |
| STIDHAM, REESE MCGREGOR III | SENIOR VICE PRESIDENT | 808174 |
| SWIFT, HENRY WOODRUFF JR | SENIOR VICE PRESIDENT | 441328 |
| TRAYNOR, FRANCIS MOFFITT JR | SENIOR VICE PRESIDENT | 449006 |
| ZIMMERMAN, JOHN CONRAD JR | SENIOR VICE PRESIDENT | 476714 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 11 |
Red Flags
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