Nicholas E. 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.
Nicholas E Griffith, CFA, who also goes by Nicholas Emerson Griffith Dr., Nicholas Emerson Griffith, Nick Griffith, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2005. Nicholas had worked at 2 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2015 - February 24, 2016
DEL REY GLOBAL INVESTORS, LLC
November 18, 2005 - March 22, 2006
MORGAN STANLEY DW INC.
October 4, 2005 - March 22, 2006
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
DEL REY GLOBAL INVESTORS, LLC
CRD#: 152872 / SEC#: 801-71069
Contact information
Red Flags
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