Roric E. Griffith

INTEGRATED FINANCIAL SOLUTIONS, PLLC

Hartford, WI

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CRD#: 2783261

Professional summary

Roric Eugene Griffith is a registered financial advisor currently at INTEGRATED FINANCIAL SOLUTIONS, PLLC located in Hartford, Wisconsin.

Roric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Roric has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roric Eugene Griffith'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®

None

Experience

Current

December 4, 2019 - Present

INTEGRATED FINANCIAL SOLUTIONS, PLLC

Office #2: 11220 W Burleigh, Suite 100, Wauwatosa, WI 53222

RIA

CRD#: 291326

Hartford, WI

Past

November 24, 2009 - November 14, 2019

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

WAUWATOSA, WI

Past

May 12, 2005 - November 23, 2009

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

WAUWATOSA, WI

Past

May 12, 2005 - November 14, 2019

PRINCIPAL SECURITIES, INC.

CRD#: 1137

WAUWATOSA, WI

Past

March 16, 2005 - May 12, 2005

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

BROOKFIELD, WI

Past

March 15, 2005 - May 12, 2005

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

October 7, 1997 - March 1, 2005

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 7, 1997 - March 1, 2005

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 31, 1997 - August 29, 1997

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(12/4/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/20/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/30/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INTEGRATED FINANCIAL SOLUTIONS, PLLC

IFS - INTEGRATED FINANCIAL SOLUTIONS | SKS WEALTH MANAGEMENT | SILVERTREE SPECIAL NEEDS PLANNING | RGIS, LLC | INTEGRATED FINANCIAL SOLUTIONS, PLLC

CRD#: 291326 / SEC#:

Arizona

Registered Investment Advisory firm - (1/18/2018 Approved)

Texas

Registered Investment Advisory firm - (2/2/2023 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (11/27/2019 Approved)

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Contact information

Main Address

7115 E. Baseline Rd. Ste. 110, Mesa, AZ 85209

Mailing Address

Phone number

(855) 275-4437

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	289
AUM (Assets Under Management)	$ 84,716,390

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Roric E. Griffith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roric Eugene Griffith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/20/2002

Series 63

Date: 10/17/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/21/2003

Series 6

Date: 7/30/1997

Current Firm

INTEGRATED FINANCIAL SOLUTIONS, PLLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INTEGRATED FINANCIAL SOLUTIONS, PLLC

TRUST BUT VERIFY

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