John M. Griffith
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.
John Michael Griffith, who also goes by John M Griffith, John Griffith, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - November 9, 2015
SPC
March 2, 2009 - November 9, 2015
PARKLAND SECURITIES, LLC
September 28, 2007 - March 9, 2009
HFG ADVISORS
January 1, 1999 - October 1, 2007
SECURITIES AMERICA ADVISORS, INC.
July 3, 1996 - March 2, 2009
SECURITIES AMERICA, INC.
June 17, 1994 - July 1, 1996
WORKMAN SECURITIES CORPORATION
January 3, 1994 - June 20, 1994
WOODBURY FINANCIAL SERVICES, INC.
August 10, 1993 - December 31, 1993
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
