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WG

William A. Griffin

W.A. GRIFFIN FINANCIAL SERVICES
Winter Park, FL
Some features on this profile are disabled
CRD#: 2813349
WG

Professional summary

William Andrew Griffin, who also goes by Andy Griffin, is a registered financial advisor currently at W.A. GRIFFIN FINANCIAL SERVICES INC. located in Winter Park, Florida.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. William has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andy Griffin

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.
Insurance Agent; Life Insurance/ Fixed Annuity; Investment related: Yes; Location: 17645 Sailfin Dr. Orlando FL 32820; Description of the business: May occasionally sell term life insurance and/or fixed annuities; Started: 01-1992; During trading hours: 1 - During outside trading hours: 1 - Expected total yearly compensation derived from the business: 10

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Andrew Griffin'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

September 27, 2019 - Present

W.A. GRIFFIN FINANCIAL SERVICES INC.

RIA
CRD#: 302114
Winter Park, FL
Past

August 6, 2014 - May 1, 2017

QUESTAR ASSET MANAGEMENT, INC.

RIA
CRD#: 133358
GAINESVILLE, GA
Past

August 6, 2014 - May 1, 2017

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
GAINESVILLE, GA
Past

April 28, 2010 - August 7, 2014

INVESTMENT ADVISORS CORP

RIA
CRD#: 117531
GAINESVILLE, GA
Past

April 27, 2010 - August 7, 2014

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
GAINESVILLE, GA
Past

June 1, 2009 - May 24, 2010

MORGAN STANLEY

RIA
CRD#: 149777
GAINESVILLE, GA
Past

June 1, 2009 - May 24, 2010

MORGAN STANLEY

BD
CRD#: 149777
GAINESVILLE, GA
Past

March 6, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
ATHENS, GA
Past

February 27, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
ATHENS, GA
Past

November 2, 2005 - March 23, 2009

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
GAINESVILLE, GA
Past

October 31, 2005 - March 23, 2009

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
GAINESVILLE, GA
Past

September 16, 2003 - November 3, 2005

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
GAINSVILLE, GA
Past

June 4, 2002 - November 3, 2005

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
GAINSVILLE, GA
Past

May 15, 2002 - June 4, 2002

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
CHARLOTTE, NC
Past

June 4, 2001 - June 4, 2002

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
CHARLOTTE, NC
Past

May 18, 2001 - May 24, 2001

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
CHARLOTTE, NC
Past

May 31, 2000 - June 1, 2001

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

January 26, 1999 - May 23, 2000

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

December 9, 1996 - January 6, 1998

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH

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
Florida
(9/27/2019)
IAR
Georgia
(1/25/2021)
IAR
Texas
(1/15/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/19/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/2/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/28/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/1/2005
General Securities Principal Examination

Current Firm

WG
W.A. GRIFFIN FINANCIAL SERVICES INC.
W.A. GRIFFIN FINANCIAL SERVICES INC.

CRD#: 302114 / SEC#:

Florida
Registered Investment Advisory firm - (9/27/2019 Approved)
Georgia
Registered Investment Advisory firm - (1/25/2021 Approved)
Texas
Registered Investment Advisory firm - (1/15/2025 Conditional Restricted)
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Contact information

Main Address
Gainesville, GA
Mailing Address
Phone number
(407) 505-9488
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts59
AUM (Assets Under Management)$ 12,925,000

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

W.A. GRIFFIN FINANCIAL SERVICES INC.

CRD#: 302114Winter Park, FL

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