Edward R. Griffiths
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.
Edward Richard Griffiths, who also goes by Edward Griffiths, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1994. Edward had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2016 - December 31, 2016
GRIFFITHS FINANCIAL SERVICES
November 22, 2002 - May 27, 2004
OSAIC WEALTH, INC.
August 19, 2002 - May 27, 2004
OSAIC WEALTH, INC.
August 29, 2000 - September 9, 2002
1717 CAPITAL MANAGEMENT COMPANY
September 13, 1996 - June 8, 1998
PRINCIPAL SECURITIES, INC.
February 2, 1994 - August 5, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
GRIFFITHS FINANCIAL SERVICES
CRD#: 123253 / SEC#:
Contact information
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.
