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TG

Timothy J. Griggs

XT CAPITAL PARTNERS
London, W1J 6BD
Some features on this profile are disabled
CRD#: 4298560
TG

Professional summary

Timothy John Griggs is a registered financial professional currently at XT CAPITAL PARTNERS, LLC .

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2017. Timothy has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Timothy John Griggs'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

July 12, 2017 - Present

XT CAPITAL PARTNERS, LLC

Office #1: Berkeley Square House 2nd Floor Berkeley Square, London, W1J 6BD
BD
CRD#: 118719
London,

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
Connecticut
(8/18/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/12/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

XC
XT CAPITAL PARTNERS, LLC
XT CAPITAL PARTNERS | XT CAPITAL PARTNERS, LLC

CRD#: 118719 / SEC#: , 8-53683

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
223 High Meadow Road, Southport, CT 06890
Mailing Address
P.o. Box 551, Westport, CT 06880
Phone number
(212) 909-2680
Established
Delaware since 10/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COCHRAN, JULIE MICHELLEMANAGING PARTNER/CHIEF EXECUTIVE OFFICER4298567
MINARD, FRANK PELL LAWRENCEMANAGING PARTNER1251387
MINARD, MARION LYNNEMANAGING PARTNER/CHIEF COMPLIANCE OFFICER3023500
KAPPOTIS, ERNEST DOMENICFINOP4871251

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

XT CAPITAL PARTNERS, LLC

CRD#: 118719London, W1J 6BD

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