Paul L. 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.
Paul Lawrence Griffith was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1997. Paul had worked at 9 firms and has passed the Series 66, 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
June 5, 2014 - April 28, 2015
SCOTTRADE, INC.
May 12, 2011 - May 16, 2014
CHARLES SCHWAB & CO., INC.
June 25, 2010 - April 19, 2011
MSI FINANCIAL SERVICES, INC.
April 11, 2006 - May 17, 2010
MUTUAL OF AMERICA SECURITIES LLC
April 11, 2006 - May 17, 2010
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
August 23, 2005 - April 3, 2006
TEACHERS PERSONAL INVESTORS SERVICES, INC.
March 16, 2005 - September 20, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 16, 2005 - September 20, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 11, 2005 - February 22, 2005
WELLS FARGO INVESTMENTS, LLC
June 10, 2004 - February 22, 2005
WELLS FARGO INVESTMENTS, LLC
September 16, 1997 - August 1, 2003
INVESCO DISTRIBUTORS, INC.
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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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