Gregory M. Griffith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gregory Matthew Griffith, who also goes by Gregory Mathew Griffith, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2005. Gregory had worked at 9 firms and has passed the Series 66, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2017 - August 15, 2018
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
June 19, 2017 - August 28, 2018
LPL FINANCIAL LLC
June 15, 2015 - June 20, 2017
PRUCO SECURITIES, LLC.
June 25, 2014 - September 4, 2014
FARMERS FINANCIAL SOLUTIONS, LLC
August 17, 2011 - February 28, 2014
FSIC
August 17, 2011 - February 28, 2014
FSIC
October 17, 2005 - August 15, 2011
CAPITAL ONE ADVISORS, LLC
September 7, 2005 - August 15, 2011
CAPITAL ONE INVESTING, LLC
February 28, 2005 - April 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2005 - April 25, 2005
IDS LIFE INSURANCE COMPANY
February 2, 2005 - April 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/27/2009
Limited Representative-Equity Trader ExamCurrent Firm
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
CRD#: 151298 / SEC#: 801-71546
Contact information
Regulatory assets under management
| Total Number of Accounts | 18,288 |
| AUM (Assets Under Management) | $ 4,074,541,185 |
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.
