James M. Griffin

INVESCO DISTRIBUTORS

NEW YORK, NY 10281

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CRD#: 2377113

Professional summary

James Michael Griffin, who also goes by James Michael Griffin III, Jim Griffin III, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Michael Griffin Iii | Jim Griffin Iii

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) - BD

Click below to view James Michael Griffin's 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

February 20, 2025 - Present

INVESCO DISTRIBUTORS, INC.

Office #1: 225 Liberty St 11th Floor, New York, NY 10281

CRD#: 7369

NEW YORK, NY

Past

November 10, 2014 - January 25, 2021

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 1, 2008 - October 28, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 23, 2005 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 13, 2005 - June 1, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

June 29, 2004 - January 14, 2005

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

September 5, 2000 - June 29, 2004

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

November 17, 1999 - September 5, 2000

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

Past

July 1, 1999 - November 19, 1999

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

June 21, 1996 - December 19, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 13, 1995 - May 8, 1996

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/1/2025)

Alaska
(6/30/2025)

Arizona
(7/2/2025)

Arkansas
(7/1/2025)

California
(6/23/2025)

Colorado
(6/30/2025)

Connecticut
(6/24/2025)

Delaware
(6/30/2025)

District of Columbia
(6/30/2025)

Florida
(6/23/2025)

Georgia
(6/24/2025)

Hawaii
(8/5/2025)

Idaho
(6/23/2025)

Illinois
(6/23/2025)

Indiana
(7/2/2025)

Iowa
(7/1/2025)

Kansas
(6/23/2025)

Kentucky
(6/23/2025)

Louisiana
(6/30/2025)

Maine
(7/1/2025)

Maryland
(7/11/2025)

Massachusetts
(6/23/2025)

Michigan
(6/23/2025)

Minnesota
(6/23/2025)

Mississippi
(6/23/2025)

Missouri
(6/23/2025)

Montana
(6/23/2025)

Nebraska
(6/23/2025)

Nevada
(6/30/2025)

New Hampshire
(6/30/2025)

New Jersey
(6/23/2025)

New Mexico
(6/24/2025)

New York
(6/28/2025)

North Carolina
(7/1/2025)

North Dakota
(6/30/2025)

Ohio
(6/24/2025)

Oklahoma
(6/23/2025)

Oregon
(6/30/2025)

Pennsylvania
(6/24/2025)

Puerto Rico
(7/14/2025)

Rhode Island
(7/7/2025)

South Carolina
(6/23/2025)

South Dakota
(6/23/2025)

Tennessee
(6/30/2025)

Texas
(6/23/2025)

Utah
(6/23/2025)

Vermont
(6/30/2025)

Virgin Islands
(6/30/2025)

Virginia
(7/1/2025)

Washington
(6/30/2025)

West Virginia
(7/1/2025)

Wisconsin
(6/30/2025)

Wyoming
(6/24/2025)

Exams

State Security Law Exam

Series 63

Date: 6/21/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/2/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/11/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INVESCO DISTRIBUTORS, INC.

CRD#: 7369 / SEC#: , 8-21323

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

11 Greenway Plaza Suite 1000, Houston, TX 77046-1173

Mailing Address

11 Greenway Plaza Suite 1000, Houston, TX 77046-1173

Phone number

(713) 214-1919

Established

Delaware since 11/18/1976

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INVESCO ADVISERS, INC.	DIRECT OWNER
GREGSON, MARK WILLIAM	CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP	2630230
HANCOCK, TRISHA BELL	CHIEF COMPLIANCE OFFICER	4373744
HARRIS, JERRY CLINTON II	DIRECTOR	3275064
KRAMER, BRIAN KEITH	DIRECTOR	4132102
MCDONOUGH, JOHN CARLIN	PRESIDENT/CEO/DIRECTOR	2363299
WISDOM, CRISSIE MCMENNAMY	ANTI-MONEY LAUNDERING COMPLIANCE OFFICER	2793857

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

James M. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

APEX CLEARING CORPORATION

ROBERTSON STEPHENS, INC.

APEX CLEARING CORPORATION

CITIGROUP GLOBAL MARKETS INC.

FLEET ENTERPRISES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/21/2025

Series 7TO

Date: 3/2/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/11/1995

Series 24

Date: 3/2/2024

FINRA

Current Firm

INVESCO DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESCO DISTRIBUTORS, INC.

TRUST BUT VERIFY

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