Jon K. 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.
Jon Kevin Griffin was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1996. Jon had worked at 6 firms and has passed the Series 63, Series 7, Series 28 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
June 19, 2008 - October 1, 2012
FENNEBRESQUE & CO., LLC
May 6, 2008 - June 26, 2008
BRIDGE CAPITAL ASSOCIATES, INC.
November 17, 2003 - November 20, 2007
MCCOLL PARTNERS, LLC
May 15, 2000 - February 14, 2002
LAZARD FRERES & CO. LLC
July 13, 1999 - April 28, 2000
JPMSI
February 5, 1996 - August 11, 1997
BANC OF AMERICA SECURITIES LLC
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 28
Date: 4/1/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FENNEBRESQUE & CO., LLC
CRD#: 146857 / SEC#: , 8-67857
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FENNEBRESQUE & CO. HOLDINGS, LLC | OWNER | |
| FENNEBRESQUE, JOHN CLARK JR | MANAGING MEMBER/MANAGING PARTNER, CCO, CFO | 4248387 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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