William E. Griggs
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.
William E Griggs III, who also goes by William E Griggs, William Eugene Griggs, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2007. William had worked at 10 firms and has passed the Series 66, SIE 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
February 3, 2020 - January 7, 2021
VESTECH ASSET MANAGEMENT INC.
January 27, 2020 - January 7, 2021
VESTECH SECURITIES, INC.
April 18, 2016 - February 2, 2018
KESTRA ADVISORY SERVICES, LLC
February 18, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
February 18, 2015 - February 2, 2018
KESTRA INVESTMENT SERVICES, LLC
October 15, 2010 - March 2, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 15, 2010 - March 2, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 19, 2009 - October 18, 2010
INTL ADVISORY CONSULTANTS INC.
October 19, 2009 - October 18, 2010
STONEX SECURITIES INC.
June 10, 2008 - October 19, 2009
COLONIAL ASSET MANAGEMENT INC
June 9, 2008 - October 19, 2009
COLONIAL BROKERAGE, INC.
July 3, 2007 - March 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2007 - March 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VESTECH ASSET MANAGEMENT INC.
CRD#: 285685 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 270 |
| AUM (Assets Under Management) | $ 100,032,281 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
