RG
Richard E. Griffin
NFSG
YPSILANTI, MI 48197
Some features on this profile are disabled
CRD#: 2542692
RG
Professional summary
Richard Eugene Griffin JR is a registered financial advisor currently at NFSG CORPORATION located in Ypsilanti, Michigan and NEWBRIDGE SECURITIES CORPORATION located in Ypsilanti, Michigan.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) RICKSTAR FINANCIAL: DOING BUSINESS AS A DBA (INVESTMENT RELATED), TITLE PRESIDENT, ESTABLISHED 01/01/2014, 160 HOUR/MONTH.
2) INSURANCE: INSURANCE SALES/AGENT/PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Eugene Griffin JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 27, 2015 - Present
NFSG CORPORATION
Office #1: 301 W. Michigan Avenue, Suite 404, Ypsilanti, MI 48197RIA
CRD#: 130814
YPSILANTI, MI
Current
July 1, 2015 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 301 W. Michigan Avenue, Suite 404, Ypsilanti, MI 48197BD
CRD#: 104065
Ypsilanti, MI
Past
June 1, 2010 - July 19, 2013
OSAIC FA, INC.
RIA
CRD#: 3978
SOUTHFIELD, MI
Past
May 12, 2009 - July 19, 2013
OSAIC FA, INC.
BD
CRD#: 3978
SOUTHFIELD, MI
Past
February 13, 2006 - March 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ANN ARBOR, MI
Past
June 21, 2005 - November 3, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ANN ARBOR, MI
Past
March 23, 2000 - March 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ANN ARBOR, MI
Past
January 4, 1999 - May 18, 1999
JWGENESIS FINANCIAL GROUP, INC
BD
CRD#: 38166
BOCA RATON, FL
Past
June 26, 1996 - January 4, 1999
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past
January 5, 1996 - July 1, 1996
JOSEPH CHARLES & ASSOC., INC.
BD
CRD#: 3949
BOCA RATON, FL
Past
September 25, 1995 - January 5, 1996
SPENCER EDWARDS, INC.
BD
CRD#: 22067
CENTENNIAL, CO
Past
March 31, 1995 - September 21, 1995
JOSEPH CHARLES & ASSOC., INC.
BD
CRD#: 3949
BOCA RATON, FL
Past
March 16, 1995 - April 12, 1995
A. T. BROD & CO. INC.
BD
CRD#: 1319
CLEVELAND, OH
Past
October 20, 1994 - March 21, 1995
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/3/2022)
RR
Arizona(4/13/2018)
RR
California(4/26/2022)
RR
Colorado(7/19/2017)
RR
Connecticut(11/5/2025)
RR
Delaware(5/15/2024)
RR
Florida(8/12/2015)
RR
Georgia(7/8/2016)
RR
Illinois(8/11/2015)
RR
Louisiana(10/20/2015)
IAR
Louisiana(1/8/2019)
RR
Maryland(5/3/2022)
RR
Michigan(7/27/2015)
IAR
Michigan(7/27/2015)
RR
Minnesota(5/20/2021)
RR
Montana(3/7/2025)
RR
Nevada(5/9/2022)
RR
New Jersey(9/2/2016)
RR
North Carolina(6/1/2023)
RR
Ohio(10/6/2015)
RR
Oklahoma(9/25/2017)
RR
Oregon(2/18/2023)
RR
Pennsylvania(9/9/2015)
RR
Tennessee(5/13/2025)
RR
Texas(1/30/2017)
IAR
Texas(1/7/2019)
RR
Virginia(10/13/2015)
RR
Washington(9/22/2017)
RR
Wisconsin(11/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
