Marc L. Griffin

U. S. BOSTON CAPITAL

Lincoln, MA 01773

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CRD#: 4396039

Professional summary

Marc Lawrence Griffin, CIMA® is a registered financial professional currently at U. S. BOSTON CAPITAL CORPORATION located in Lincoln, Massachusetts.

Marc is registered as a RR (Registered Representative) and started their career in finance in 2001. Marc has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 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 Marc Lawrence Griffin'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 12, 2010 - Present

U. S. BOSTON CAPITAL CORPORATION

Office #1: Lincoln North, Lincoln, MA 01773

RIA

CRD#: 5251

Lincoln, MA

Past

October 23, 2009 - December 31, 2009

EVERGREEN INVESTMENT MANAGEMENT CO

RIA

CRD#: 104594

BOSTON, MA

Past

September 12, 2005 - December 31, 2009

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

November 3, 2004 - July 11, 2005

BOSTON CAPITAL SECURITIES, INC.

CRD#: 14611

BOSTON, MA

Past

August 18, 2003 - October 12, 2004

TRILLIUM BROKERAGE SERVICES, LLC

CRD#: 120064

NEW YORK, NY

Past

June 19, 2001 - June 26, 2003

BARING INVESTMENT SERVICES, INC.

CRD#: 29645

BOSTON, MA

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".

U. S. BOSTON CAPITAL CORPORATION

CRD#: 5251 / SEC#: 801-130044, 8-15885

RIA

Registered Investment Advisory firm - SEC (4/26/2024 Approved)

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

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

Massachusetts
(1/12/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/21/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/6/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/3/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/18/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/10/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

U. S. BOSTON CAPITAL CORPORATION

CRD#: 5251 / SEC#: 801-130044, 8-15885

RIA

Registered Investment Advisory firm - SEC (4/26/2024 Approved)

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

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Contact information

Main Address

Lincoln North Suite 202, Lincoln, MA 01773

Mailing Address

55 Old Bedford Road Suite 202, Lincoln, MA 01773

Phone number

(781) 259-1144

Established

Massachusetts since 04/23/1970

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (4 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Part 2 Brochures

U.S. BOSTON CAPITAL CORPORATION ADV BROCHURE SEPTEMBER 2025 (12/3/2025)

Direct owners and executive officers

Name	Position	CRD#
U.S. BOSTON CORPORATION	SHAREHOLDER
HUNT, DIANE	TREASURER	1314708
HUNT, DIANE	PRINCIPAL OPERATIONS OFFICER	1314708
KESSINGER, DEBORAH ANNE	PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKER DEALER	1801530
MONISOV, ALINA	CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY	6235159
OKUROWSKI, LEON	VICE PRESIDENT, DIRECTOR AND CLERK	351799
UMPHREY, WILLARD LEE	DIRECTOR	451556

Regulatory assets under management

Total Number of Accounts	271
AUM (Assets Under Management)	$ 359,787,261

Disclosures

Regulatory Event	2
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/17/2025	Cover Page	Report

Red Flags

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

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Marc L. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc Lawrence Griffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

EVERGREEN INVESTMENT MANAGEMENT CO

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BOSTON CAPITAL SECURITIES, INC.

TRILLIUM BROKERAGE SERVICES, LLC

BARING INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

U. S. BOSTON CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/2009

Series 63

Date: 9/6/2001

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 9/3/2003

Series 7

Date: 6/18/2001

Series 24

Date: 8/10/2011

FINRA

Current Firm

U. S. BOSTON CAPITAL CORPORATION

Contact information

SEC notice filing (4 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U. S. BOSTON CAPITAL CORPORATION

TRUST BUT VERIFY

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