Robert B. Griggs
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.
Robert Brooks Griggs was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1965. Robert had worked at 4 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1988 - July 12, 1993
WACHOVIA SECURITIES, INC.
April 15, 1976 - August 18, 1978
J.C. BRADFORD & CO.
April 3, 1968 - March 16, 1976
EDWARD JONES
April 28, 1965 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
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
PC
Date: 2/1/1977
AMEX Put and Call ExamSeries 1
Date: 8/21/1957
Registered Representative ExaminationSeries 12
Date: 4/28/1965
NYSE Branch Manager ExaminationCurrent Firm
WACHOVIA SECURITIES, INC.
CRD#: 431 / SEC#: , 8-2612
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
| Civil Event | 3 |
| Arbitration | 18 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
