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EG

Elizabeth J. Griffith

AUGUSTAR DISTRIBUTORS
Cincinnati, OH 45242
Some features on this profile are disabled
CRD#: 4550921
EG

Professional summary

Elizabeth Jane Griffith, who also goes by Elizabeth Jane Walton, is a registered financial professional currently at AUGUSTAR DISTRIBUTORS, INC. located in Cincinnati, Ohio.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2004. Elizabeth has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth Jane Walton

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 Elizabeth Jane 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®
None

Experience

Current

April 13, 2023 - Present

AUGUSTAR DISTRIBUTORS, INC.

Office #1: One Financial Way, Cincinnati, OH 45242
BD
CRD#: 41081
Cincinnati, OH
Past

April 22, 2013 - March 29, 2016

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
DENVER, CO
Past

December 1, 2005 - April 20, 2022

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

February 16, 2004 - April 27, 2005

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN

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
Ohio
(4/14/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/21/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/30/2007
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 6
Date: 2/13/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/5/2010
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
AUGUSTAR DISTRIBUTORS, INC.
AUGUSTAR DISTRIBUTORS, INC. | OHIO NATIONAL EQUITIES, INC.

CRD#: 41081 / SEC#: , 8-49296

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

Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 237, Cincinnati, OH 45201-0371
Phone number
(513) 797-3443
Established
Ohio since 01/17/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY
JACK, CLIFFORD JAMESDIRECTOR1398005
SOCOL, MARC ALLANPRESIDENT & DIRECTOR2761094
VANHOY, ANDREW JOSEPHDIRECTOR & CHIEF COMPLIANCE OFFICER3012299

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

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081Cincinnati, OH 45242

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