Thomas M. Griffin

SLATESTONE WEALTH LLC

St Petersburg, FL

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CRD#: 229997

Professional summary

Thomas Michael Griffin SR, who also goes by Thomas Michael Griffin, Tom Griffin, is a registered financial advisor currently at SLATESTONE WEALTH LLC located in St Petersburg, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1967. Thomas has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 000, Series 1, Series 4, Series 40 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Michael Griffin | Tom Griffin

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Griffin SR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 29, 2021 - Present

SLATESTONE WEALTH LLC

RIA

CRD#: 286669

St Petersburg, FL

Past

December 10, 2007 - October 14, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TAMPA, FL

Past

December 10, 2007 - October 14, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TAMPA, FL

Past

June 8, 2001 - December 20, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HARTFORD, CT

Past

June 1, 2001 - December 20, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HARTFORD, CT

Past

September 20, 1988 - June 13, 2001

COBURN & MEREDITH, INC.

CRD#: 164

SIMSBURY, CT

Past

March 1, 1988 - August 30, 1988

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

November 16, 1981 - March 10, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 31, 1977 - November 15, 1981

ADVEST, INC.

CRD#: 10

Past

January 20, 1976 - April 30, 1977

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

August 29, 1974 - March 5, 1976

WHITE, WELD & CO. INCORPORATED

CRD#: 6802

Past

April 24, 1973 - August 19, 1974

W. E. HUTTON & CO.

CRD#: 861

Past

August 29, 1967 - May 11, 1973

DUPONT WALSTON, INCORPORATED

CRD#: 870

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SLATESTONE WEALTH LLC

SLATESTONE PRIVATE CLIENT, LLC | SLATESTONE WEALTH LLC

CRD#: 286669 / SEC#: 801-110003

RIA

Registered Investment Advisory firm - (2/24/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(11/29/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 000

Date: 8/25/1967

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 8/25/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/4/1980

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 6/24/1976

Registered Principal Examination

Principal/Supervisory Exam

Series 12

Date: 5/27/1976

NYSE Branch Manager Examination

Current Firm

SLATESTONE WEALTH LLC

SLATESTONE PRIVATE CLIENT, LLC | SLATESTONE WEALTH LLC

CRD#: 286669 / SEC#: 801-110003

RIA

Registered Investment Advisory firm - (2/24/2017 Approved)

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Contact information

Main Address

661 University Blvd Suite 100, Jupiter, FL 33458

Mailing Address

Phone number

(561) 244-2504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SSW ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,543
AUM (Assets Under Management)	$ 1,653,938,437

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/25/2024	Cover Page	Report
01/18/2024	Cover Page	Report
10/25/2022	Cover Page	Report

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.

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Firm Stability Insights

Thomas M. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Griffin SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

COBURN & MEREDITH, INC.

ADVEST, INC.

LEHMAN BROTHERS INC.

ADVEST, INC.

REYNOLDS SECURITIES, INC.

WHITE, WELD & CO. INCORPORATED

W. E. HUTTON & CO.

DUPONT WALSTON, INCORPORATED

Primary Firm SEC Registration

SLATESTONE WEALTH LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/30/1984

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 000

Date: 8/25/1967

Series 1

Date: 8/25/1967

Series 4

Date: 6/4/1980

Series 40

Date: 6/24/1976

Series 12

Date: 5/27/1976

Current Firm

SLATESTONE WEALTH LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SLATESTONE WEALTH LLC

TRUST BUT VERIFY

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