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Cory D. Calvert

Some features on this profile are disabled
CRD#: 2631676
CC

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.

Cory Dalley Calvert SR, who also goes by Cory Dalley Calvert, was a registered financial professional .

Cory is a previously registered financial professional and started their career in finance in 1995. Cory had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cory Dalley Calvert

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 20, 2015 - August 21, 2023

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
IRVINE, CA
Past

September 16, 2014 - February 18, 2015

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

February 10, 2011 - June 18, 2014

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

May 15, 2009 - March 4, 2011

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

June 15, 2005 - May 18, 2009

GRUBB & ELLIS SECURITIES, INC.

BD
CRD#: 17932
SANTA ANA, CA
Past

June 3, 2005 - June 20, 2005

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
ANAHEIM, CA
Past

December 5, 2000 - June 17, 2005

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

November 11, 1999 - December 12, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

May 15, 1997 - August 30, 1999

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

August 26, 1996 - May 30, 1997

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

August 26, 1996 - May 30, 1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

July 24, 1995 - July 3, 1996

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/30/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/1/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/21/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/16/2015
General Securities Principal Examination

Current Firm

GC
GRIFFIN CAPITAL SECURITIES, LLC
GRIFFIN CAPITAL | HIGHLAND CAPITAL GROUP | HIGHLAND CAPITAL | GRIFFIN CAPITAL SECURITIES, LLC | GRIFFIN CAPITAL SECURITIES, INC.

CRD#: 37739 / SEC#: , 8-47891

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2010 Main Street Suite 530, Irvine, CA 92614
Mailing Address
2010 Main Street Suite 530, Irvine, CA 92614
Phone number
(949) 270-9300
Established
Delaware since 09/28/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
APOLLO MANAGEMENT HOLDINGS, L.P.MEMBER
GOOD, ALBACCO2504071
ISHIOKA, RODNEY SHOJISECRETARY3124257
LANG, TUAN HUUFINOP6682817
WALKER, JACOB FREDERICKCEO & CHAIRMAN OF THE BOARD5020296

Disclosures

Regulatory Event2

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.

Company Information

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

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