Ann M. Griffith

OLSEN PALMER LLC

WASHINGTON, DC 20005

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CRD#: 2936554

Professional summary

Ann Margaret Griffith is a registered financial professional currently at OLSEN PALMER LLC located in Washington, District Of Columbia and LAZEAR CAPITAL SECURITIES, LLC located in Columbus, Ohio.

Ann is registered as a RR (Registered Representative) and started their career in finance in 1997. Ann has worked at 15 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 14, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Ann Margaret Griffith's CRS (Customer Relationship Summary).

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

June 3, 2013 - Present

OLSEN PALMER LLC

Office #1: 1015 15th Street, Nw Suite 350, Washington, DC 20005

CRD#: 166536

WASHINGTON, DC

Current

May 2, 2019 - Present

LAZEAR CAPITAL SECURITIES, LLC

Office #1: 401 N. Front Street Suite 250, Columbus, OH 43215

CRD#: 298578

Columbus, OH

Current

April 30, 2020 - Present

COINSHARES CAPITAL LLC

Office #1: 437 Madison Avenue 28th Floor, New York, NY 10022

CRD#: 170506

New York, NY

Current

July 1, 2024 - Present

GLOBACAP PRIVATE MARKETS INC.

Office #1: 12 E 49th St. 11th Floor, New York, NY 10017

CRD#: 328777

NEW YORK, NY

Past

July 18, 2024 - November 11, 2024

CUATRO CAPITAL SECURITIES LLC

CRD#: 328082

SAN JUAN, PR

Past

July 20, 2022 - August 9, 2024

PICTET OVERSEAS INC.

CRD#: 36500

MONTREAL, QC,

Past

March 12, 2019 - February 12, 2024

ACERVUS SECURITIES, INC.

CRD#: 298058

New York, NY

Past

September 15, 2015 - October 19, 2015

COLLINGWOOD CAPITAL ADVISORS, LLC

CRD#: 216511

WASHINGTON, DC

Past

December 5, 2013 - December 28, 2015

BERKADIA CAPITAL MARKETS LLC

CRD#: 167379

THE PLAINS, VA

Past

November 5, 2013 - August 1, 2024

RSP INVESTMENTS, LLC

CRD#: 161622

WASHINGTON, DC

Past

March 9, 2012 - April 20, 2012

VCAP SECURITIES, LLC

CRD#: 124515

NEW YORK, NY

Past

August 29, 2011 - June 28, 2013

SIP NORDIC AMERICA LLC

CRD#: 153094

STAMFORD, CT

Past

July 20, 2005 - July 15, 2010

B. RILEY SECURITIES, INC.

CRD#: 25027

LOS ANGELES, CA

Past

January 13, 1998 - May 24, 2002

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

October 6, 1997 - October 21, 1998

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/15/2022)

Arkansas
(3/14/2022)

California
(12/24/2019)

Colorado
(12/26/2019)

Florida
(1/5/2024)

Georgia
(3/9/2020)

Idaho
(2/17/2021)

Illinois
(7/29/2021)

Indiana
(12/26/2019)

Iowa
(2/19/2021)

Kentucky
(1/2/2020)

Massachusetts
(5/14/2021)

Michigan
(1/8/2020)

Missouri
(7/1/2020)

Montana
(5/24/2021)

Nevada
(1/2/2020)

New Jersey
(3/10/2020)

New Mexico
(2/7/2023)

New York
(1/2/2020)

North Carolina
(12/23/2019)

North Dakota
(1/15/2020)

Ohio
(11/19/2019)

Oklahoma
(3/31/2021)

Oregon
(11/18/2020)

Pennsylvania
(12/24/2019)

South Carolina
(6/5/2023)

Tennessee
(3/24/2022)

Texas
(6/14/2021)

Utah
(12/20/2022)

Virginia
(12/26/2019)

West Virginia
(12/26/2019)

Wisconsin
(10/17/2023)

Exams

State Security Law Exam

Series 63

Date: 12/2/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/3/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 10

Date: 3/27/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/12/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

GLOBACAP PRIVATE MARKETS INC.

CBOE PRIVATE MARKETS | GLOBACAP PRIVATE MARKETS INC.

CRD#: 328777 / SEC#: , 8-71181

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

12 E 49th St. 11th Floor, New York, NY 10017

Mailing Address

12 E 49th St. 11th Floor, New York, NY 10017

Phone number

(646) 568-5284

Established

Delaware since 06/13/2023

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GLOBACAP INC.	OWNER
BEATON, DANIEL STEWART	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	4240769
GRIFFITH, ANN MARGARET	CHIEF COMPLIANCE OFFICER	2936554
PEDVIS, ANDREW	CEO	7173906

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

Ann M. Griffith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ann Margaret Griffith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZEAR CAPITAL SECURITIES, LLC

COINSHARES CAPITAL LLC

GLOBACAP PRIVATE MARKETS INC.

CUATRO CAPITAL SECURITIES LLC

PICTET OVERSEAS INC.

ACERVUS SECURITIES, INC.

COLLINGWOOD CAPITAL ADVISORS, LLC

BERKADIA CAPITAL MARKETS LLC

RSP INVESTMENTS, LLC

VCAP SECURITIES, LLC

SIP NORDIC AMERICA LLC

B. RILEY SECURITIES, INC.

CREDIT SUISSE SECURITIES (USA) LLC

DB ALEX. BROWN LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/2019

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/3/1997

Series 14

Date: 1/2/2023

Series 10

Date: 3/27/2002

Series 9

Date: 4/12/2000

FINRA

Current Firm

GLOBACAP PRIVATE MARKETS INC.

Contact information

FINRA licenses (36 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GLOBACAP PRIVATE MARKETS INC.

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