Michael B. Griffin
Professional summary
Michael Brian Griffin, who also goes by Mike Griffin, is a registered financial professional currently at DELAWARE DISTRIBUTORS, L.P. located in Overland Park, Kansas.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Brian Griffin's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 11, 2022 - Present
DELAWARE DISTRIBUTORS, L.P.
Office #1: 6301 Glenwood Street, Overland Park, KS 66202January 26, 2015 - April 22, 2021
WADDELL & REED
January 26, 2015 - January 29, 2022
IVY DISTRIBUTORS, INC.
February 21, 2013 - November 27, 2013
FBL MARKETING SERVICES, LLC
February 29, 2012 - November 12, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 27, 2008 - January 10, 2012
NYLIFE SECURITIES LLC
September 14, 2006 - February 13, 2008
FBL MARKETING 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
(2/11/2022)
Exams
FINRA
Current Firm
DELAWARE DISTRIBUTORS, L.P.
CRD#: 14232 / SEC#: , 8-29755
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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Company Information
DELAWARE DISTRIBUTORS, L.P.
CRD#: 14232Overland Park, KS 66202TRUST BUT VERIFY
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