Patrick Griffin
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.
Patrick Griffin, who also goes by Patrick Stuart Griffin, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1995. Patrick had worked at 14 firms and has passed the Series 65, Series 63, Series 82TO, SIE, Series 7, Series 4, 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
November 7, 2022 - March 19, 2024
LPL FINANCIAL LLC
October 12, 2022 - March 19, 2024
LPL FINANCIAL LLC
July 22, 2020 - September 16, 2020
SECURIAN FINANCIAL SERVICES, INC.
July 22, 2020 - September 16, 2020
SECURIAN FINANCIAL SERVICES, INC.
August 3, 2011 - April 3, 2019
VOYA FINANCIAL ADVISORS, INC.
August 3, 2011 - April 3, 2019
VOYA FINANCIAL ADVISORS, INC.
August 5, 2009 - July 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2009 - July 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2008 - August 18, 2009
UBS FINANCIAL SERVICES INC.
May 2, 2008 - August 18, 2009
UBS FINANCIAL SERVICES INC.
October 23, 2006 - November 14, 2006
GLOBAL PORTFOLIO STRATEGIES, INC.
April 30, 2005 - November 14, 2006
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 9, 2005 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
January 3, 2005 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
April 16, 2004 - November 22, 2004
MML INVESTORS SERVICES, LLC
August 31, 2000 - November 17, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
March 21, 2000 - July 14, 2000
AETNA FINANCIAL SERVICES, INC.
November 8, 1999 - July 14, 2000
VOYA FINANCIAL PARTNERS, LLC
March 31, 1998 - November 3, 1999
EDWARD JONES
February 8, 1995 - March 31, 1998
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
