AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WG

William P. Griffiths

LOCKTON RE CAPITAL MARKETS
NEW YORK, NY 10016
Some features on this profile are disabled
CRD#: 3039697
WG

Professional summary

William P Griffiths, who also goes by William Patrick Griffiths, William P Griffiths, is a registered financial professional currently at LOCKTON RE CAPITAL MARKETS, LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 5 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Patrick Griffiths | William P Griffiths

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 William P Griffiths'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

July 25, 2023 - Present

LOCKTON RE CAPITAL MARKETS, LLC

Office #1: 261 Fifth Avenue 10th Floor, New York, NY 10016
BD
CRD#: 323110
NEW YORK, NY
Past

February 15, 2023 - September 26, 2023

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
New York, NY
Past

May 12, 2021 - June 9, 2021

AEL FINANCIAL SERVICES, LLC

BD
CRD#: 300285
New York, NY
Past

July 29, 2008 - January 6, 2016

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

August 7, 1998 - November 21, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(1/5/2024)
RR
Alaska
(1/5/2024)
RR
Arizona
(1/5/2024)
RR
Arkansas
(1/5/2024)
RR
California
(1/5/2024)
RR
Colorado
(1/5/2024)
RR
Connecticut
(8/7/2023)
RR
Delaware
(1/5/2024)
RR
District of Columbia
(1/5/2024)
RR
Florida
(1/5/2024)
RR
Georgia
(1/5/2024)
RR
Hawaii
(1/5/2024)
RR
Idaho
(1/5/2024)
RR
Illinois
(9/6/2023)
RR
Indiana
(8/24/2023)
RR
Iowa
(1/5/2024)
RR
Kansas
(1/5/2024)
RR
Kentucky
(1/5/2024)
RR
Louisiana
(1/5/2024)
RR
Maine
(1/5/2024)
RR
Maryland
(1/5/2024)
RR
Massachusetts
(1/5/2024)
RR
Michigan
(1/5/2024)
RR
Minnesota
(2/16/2024)
RR
Mississippi
(1/5/2024)
RR
Missouri
(1/5/2024)
RR
Montana
(1/5/2024)
RR
Nebraska
(1/5/2024)
RR
Nevada
(1/5/2024)
RR
New Hampshire
(1/5/2024)
RR
New Jersey
(8/3/2023)
RR
New Mexico
(1/5/2024)
RR
New York
(8/3/2023)
RR
North Carolina
(1/5/2024)
RR
North Dakota
(1/5/2024)
RR
Ohio
(1/5/2024)
RR
Oklahoma
(1/5/2024)
RR
Oregon
(1/5/2024)
RR
Pennsylvania
(1/5/2024)
RR
Puerto Rico
(1/5/2024)
RR
Rhode Island
(1/5/2024)
RR
South Carolina
(1/5/2024)
RR
South Dakota
(1/5/2024)
RR
Tennessee
(1/5/2024)
RR
Texas
(1/5/2024)
RR
Utah
(1/5/2024)
RR
Vermont
(1/5/2024)
RR
Virgin Islands
(1/5/2024)
RR
Virginia
(1/5/2024)
RR
Washington
(1/5/2024)
RR
West Virginia
(1/5/2024)
RR
Wisconsin
(1/5/2024)
RR
Wyoming
(1/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/9/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/20/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/11/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/3/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/5/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LR
LOCKTON RE CAPITAL MARKETS, LLC
LOCKTON RE CAPITAL MARKETS, LLC

CRD#: 323110 / SEC#: , 8-70988

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
261 Fifth Avenue 10th Floor, New York, NY 10016
Mailing Address
261 Fifth Avenue 10th Floor, New York, NY 10016
Phone number
(332) 262-4833
Established
Missouri since 07/25/2022
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LOCKTON RE, LPSOLE MEMBER
BRANT, DAVID ROBERTFINOP/ PFO/ POO2718478
BRESLIN, ZACHARY NOLANMANAGING DIRECTOR, HEAD OF CAPITAL MARKETS6685745
HOMAN, LISA MCHIEF COMPLIANCE OFFICER7730979

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

LOCKTON RE CAPITAL MARKETS, LLC

CRD#: 323110New York, NY 10016

TRUST BUT VERIFY

Monitor William Griffiths

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics