Richard E. Griffard
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.
Richard Edward Griffard, who also goes by Rick Griffard, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 10 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, Series 82TO, SIE, Series 7, Series 39, Series 26, Series 14, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2016 - December 21, 2018
PINNACLE CAPITAL SECURITIES, LLC
February 3, 2014 - November 24, 2014
RUDIS CAPITAL MANAGEMENT, INC.
September 30, 2010 - December 31, 2023
PATRICK CAPITAL MARKETS, LLC
December 2, 2008 - December 10, 2008
PATRICK CAPITAL MARKETS, LLC
July 30, 2008 - October 29, 2009
CORNERSTONE SELECT ADVISORS, LLC
September 16, 2004 - June 23, 2025
SAXONY CAPITAL MANAGEMENT, LLC
February 13, 2002 - December 31, 2025
SAXONY SECURITIES, INC.
October 25, 1996 - October 1, 2001
EISNER SECURITIES, INC.
January 31, 1995 - October 16, 1996
CLEARING SERVICES OF AMERICA, INC.
January 6, 1995 - January 30, 1995
DICKINSON & CO.
June 7, 1994 - January 15, 1995
MONTANO SECURITIES CORPORATION
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
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
PINNACLE CAPITAL SECURITIES, LLC
CRD#: 106213 / SEC#: 801-40956, 8-65263
Contact information
FINRA licenses (14 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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