John S. Griffin
WILMINGTON CAPITAL SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 4105665
Professional summary
John Sky Griffin, CFP® is a registered financial advisor currently at WILMINGTON CAPITAL SECURITIES, LLC located in New York, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 31, Series 55, 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.
Ambrose Light LLC, 1180 Avenue of the Americas, Suite 815, NY, NY 10036, Investment Related, Management of OSJ of Wilmington Capital Securities LLC, May 2018, 160 hours per month, 8 hours per day during market hours. Esopus River LLC, 12 McKinley Street, Bronxville, NY 10708, Non-Investment Related, LLC owns NYC Taxi Medallion, Sole owner and member of LLC, Start 05/21/2021, 0 hours per month, 0 hours per day during market hours.
CRS (Client Relationship Summary) - RIA
Click below to view John Sky Griffin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Sky 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®
CFP®
Start date: 2014
Experience
Current
August 19, 2015 - Present
WILMINGTON CAPITAL SECURITIES, LLC
Office #1: 1140 Avenue Of The Americas Suite 1047, New York, NY 10036RIA
BD
CRD#: 133839
New York, NY
Current
August 7, 2015 - Present
WILMINGTON CAPITAL SECURITIES, LLC
Office #1: 1140 Avenue Of The Americas Suite 1047, New York, NY 10036RIA
BD
CRD#: 133839
New York, NY
Past
March 27, 2013 - August 14, 2015
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
BROOKLYN, NY
Past
March 27, 2013 - August 14, 2015
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
BROOKLYN, NY
Past
August 8, 2011 - April 4, 2013
MORGAN STANLEY
RIA
CRD#: 149777
WESTPORT, CT
Past
July 26, 2011 - April 4, 2013
MORGAN STANLEY
BD
CRD#: 149777
WESTPORT, CT
Past
July 13, 2010 - February 28, 2011
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MEMPHIS, TN
Past
October 6, 2009 - June 4, 2010
CAROLINA CAPITAL MARKETS, INC.
BD
CRD#: 38156
CHAPEL HILL, NC
Past
May 19, 2009 - October 2, 2009
CAROLINA CAPITAL MARKETS, INC.
BD
CRD#: 38156
CHAPEL HILL, NC
Past
March 28, 2005 - May 28, 2008
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
November 9, 2000 - February 15, 2006
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
September 11, 2000 - February 1, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
January 18, 2000 - April 4, 2000
WORLDCO, L.L.C.
BD
CRD#: 24673
NEW YORK, 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".
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
CRD#: 133839 / SEC#: 801-101483, 8-67149
RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island 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
Alabama(5/23/2018)
RR
Arizona(7/16/2018)
RR
California(8/7/2015)
IAR
California(11/3/2025)
RR
Colorado(7/20/2016)
RR
Connecticut(8/7/2015)
IAR
Connecticut(11/3/2025)
RR
Delaware(5/23/2018)
RR
District of Columbia(5/23/2018)
RR
Florida(8/7/2015)
RR
Georgia(5/2/2018)
RR
Hawaii(7/14/2023)
RR
Idaho(5/23/2018)
RR
Illinois(5/23/2018)
RR
Indiana(10/22/2018)
RR
Iowa(5/2/2018)
RR
Kentucky(3/24/2020)
RR
Maine(12/9/2019)
RR
Maryland(5/23/2018)
RR
Massachusetts(1/27/2016)
RR
Michigan(10/22/2018)
RR
Minnesota(10/19/2018)
RR
Missouri(8/22/2018)
RR
Montana(11/11/2020)
RR
Nevada(8/4/2021)
RR
New Hampshire(5/23/2018)
RR
New Jersey(8/7/2015)
IAR
New Jersey(8/19/2015)
RR
New Mexico(1/27/2016)
RR
New York(8/7/2015)
IAR
New York(7/13/2021)
RR
North Carolina(5/23/2018)
RR
Ohio(2/27/2017)
RR
Oklahoma(7/16/2018)
RR
Oregon(1/3/2019)
RR
Pennsylvania(5/23/2018)
RR
Rhode Island(2/8/2021)
RR
South Carolina(5/23/2018)
RR
Texas(4/9/2018)
IAR
Texas(11/3/2025)
RR
Utah(2/14/2022)
RR
Virginia(5/23/2018)
RR
Washington(2/10/2020)
RR
Wisconsin(7/16/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/28/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
CRD#: 133839 / SEC#: 801-101483, 8-67149
RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island 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
666 Old Country Road Suite 505, Garden City, NY 11530
Mailing Address
666 Old Country Road Suite 505, Garden City, NY 11530
Phone number
(516) 750-6200
Established
New York since 11/18/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
6
SEC notice filing (7 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILMINGTON CAPITAL GROUP, INC. | PARENT COMPANY | |
| COLUMBO, JOSEPH DONALD | CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER | 823524 |
| DORUSHKIN, RONALD BRETT | CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER | 2245185 |
| LEE, DENNIS PETER | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL | 6008539 |
| MIKES, JOHN | PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR | 2458544 |
| VITTOR, GREG TODD | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1864219 |
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 258,250,437 |
Disclosures
| Regulatory Event | 2 |
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.
