Robert Brooks Griggs
Professional Summary
Robert Brooks Griggs was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1965 - 1993. Robert had worked at 4 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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
69 years in the financial services industry
Current & Past Employments
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Current Firm
INTERSTATE SECURITIES CORPORATION | WACHOVIA SECURITIES, INC. | INTERSTATE/JOHNSON LANE CORPORATION
Contact Information
Established
North Carolina since 03/28/1932Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
31Civil Event
3Arbitration
18Bond
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Feb 1977Series 1 — Registered Representative Examination
Passed Aug 1957Series 12 — NYSE Branch Manager Examination
Passed Apr 1965Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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