AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MG

Michael S. Griffin

EXECUTIVE SERVICES SECURITIES
Atlanta, GA 30326-1156
Some features on this profile are disabled
CRD#: 5349742
MG

Professional summary

Michael Stewart Griffin is a registered financial professional currently at EXECUTIVE SERVICES SECURITIES, LLC located in Atlanta, Georgia.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Michael Stewart Griffin'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

May 6, 2009 - Present

EXECUTIVE SERVICES SECURITIES, LLC

Office #1: 3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156
RIA
BD
CRD#: 25299
Atlanta, GA
Past

June 22, 2007 - May 13, 2009

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
NEW YORK, NY

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
New York
(5/6/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2007
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: 6/21/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EXECUTIVE SERVICES SECURITIES, LLC
EXECUTIVE SERVICES SECURITIES, INC. | ONE SECURITIES CORPORATION | ONE SECURITIES CORP. | EXECUTIVE SERVICES SECURITIES, LLC

CRD#: 25299 / SEC#: , 8-41649

Georgia
Registered Investment Advisory firm - SEC (7/5/1996 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156
Mailing Address
3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156
Phone number
(404) 504-3800
Established
Georgia since 12/23/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
17

FINRA licenses (49 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NFP CORP.SOLE MEMBER
FELTS, KENNETH LEECFO
KROELL, EDWARD HAROLDCHIEF COMPLIANCE OFFICER2615310
MOO, VERONICA EI CHUNDIRECTOR5867442
O'MALLEY, EDWARD GEORGEDIRECTOR5902666
SCHNEIDER, BRETT RONALDDIRECTOR5636953

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

EXECUTIVE SERVICES SECURITIES, LLC

CRD#: 25299Atlanta, GA 30326-1156

TRUST BUT VERIFY

Monitor Michael Griffin

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Robert L Busby
Robert BusbyAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Atlanta, GA
TP
Tyrane PerryAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
Atlanta, GA
AP
Alexander PaslayAdvisorCheck Check Mark
KESTRA ADVISORY SERVICES, LLC
IAR
RR
Woodstock, GA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics