Patrick L. 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 Leslie Griffin, who also goes by Pat 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 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 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
March 31, 2005 - November 5, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 31, 2005 - November 5, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 12, 1997 - April 7, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
February 13, 1997 - April 7, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
January 22, 1997 - February 13, 1997
LOCKWOOD FINANCIAL SERVICES, INC.
May 10, 1995 - February 5, 1997
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
