Imelda T. Griffith
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.
Imelda T Griffith, who also goes by Emy Griffith, Imelda T Griffith, Imelda Tubiera Griffith, Imelda Berdos Tubiera, was a registered financial professional .
Imelda is a previously registered financial professional and started their career in finance in 1996. Imelda had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2021 - August 24, 2021
MORGAN STANLEY
October 16, 2020 - June 18, 2021
VANGUARD MARKETING CORPORATION
June 4, 2019 - November 4, 2019
VOYA FINANCIAL PARTNERS, LLC
December 16, 2016 - October 27, 2017
CHARLES SCHWAB & CO., INC.
March 20, 2014 - December 23, 2014
VANGUARD MARKETING CORPORATION
October 10, 2013 - March 3, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 2003 - March 28, 2013
EDWARD JONES
April 25, 2001 - March 26, 2002
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 6, 2000 - January 3, 2001
VANGUARD MARKETING CORPORATION
May 27, 1998 - October 16, 2000
INVESCO CAPITAL MARKETS, INC.
May 13, 1996 - August 9, 1996
DST SECURITIES, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 116 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
