DG
David K. Griffith
LIFEMARK SECURITIES
Utica, NY 13502
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CRD#: 3072664
DG
Professional summary
David Kristopher Griffith is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Utica, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
1. D. K. Griffith and Company/Investment related/2108 Genesee Street, Utica NY 13502/Simple tax prep and small business consulting/self employed/tax preparer and consultant, insurance sales & service/1/2007/20 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view David Kristopher Griffith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Kristopher 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®
NoneExperience
Current
October 2, 2015 - Present
LIFEMARK SECURITIES CORP.
Office #1: 2108 Genesee Street, Utica, NY 13502Office #2: 2018 Genesee Street, Utica, NY 13502RIA
BD
CRD#: 16204
Utica, NY
Current
May 12, 2015 - Present
LIFEMARK SECURITIES CORP.
Office #1: 2108 Genesee Street, Utica, NY 13502RIA
BD
CRD#: 16204
Utica, NY
Past
September 19, 2012 - May 12, 2015
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
UTICA, NY
Past
April 2, 2007 - October 5, 2012
IBN FINANCIAL SERVICES, INC.
BD
CRD#: 42360
UTICA, NY
Past
November 14, 2006 - April 2, 2007
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
UTICA, NY
Past
January 31, 2001 - November 9, 2006
M. GRIFFITH INVESTMENT SERVICES, INC.
BD
CRD#: 2078
NEW HARTFORD, NY
Past
August 9, 2000 - January 23, 2001
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
April 11, 2000 - January 23, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
August 16, 1999 - February 3, 2000
M. GRIFFITH INVESTMENT SERVICES, INC.
BD
CRD#: 2078
NEW HARTFORD, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.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
California(11/7/2022)
RR
Connecticut(5/12/2015)
RR
District of Columbia(4/23/2025)
RR
Florida(7/17/2015)
RR
Georgia(1/4/2021)
RR
Illinois(1/4/2021)
RR
Maine(1/4/2022)
RR
Maryland(5/12/2015)
RR
Massachusetts(7/10/2018)
RR
Michigan(1/4/2021)
RR
New Hampshire(1/4/2022)
RR
New Mexico(5/12/2015)
RR
New York(5/12/2015)
IAR
New York(8/20/2021)
RR
North Carolina(3/23/2021)
RR
Ohio(1/5/2021)
RR
Pennsylvania(1/4/2022)
RR
Tennessee(1/4/2022)
RR
Texas(1/4/2021)
RR
Virginia(1/21/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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
LIFEMARK SECURITIES CORP.
CRD#: 16204Utica, NY 13502TRUST BUT VERIFY
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