Mark A. Griffis
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.
Mark Alan Griffis, CFP®, who also goes by Mark A Griffis, Mark A. Griffis, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 7 firms and has passed the Series 66, Series 63, SIE 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
December 4, 2017 - May 17, 2018
TRUIST ADVISORY SERVICES, INC.
November 29, 2017 - May 17, 2018
TRUIST INVESTMENT SERVICES, INC.
May 11, 2016 - October 24, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
August 22, 2014 - October 24, 2016
BBVA SECURITIES INC.
March 29, 2011 - March 22, 2013
BB&T INVESTMENT SERVICES, INC.
March 28, 2011 - March 22, 2013
BB&T INVESTMENT SERVICES, INC.
May 18, 2010 - September 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 17, 2010 - September 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 19, 1994 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
