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LG

Liam P. Griff

SHOREBRIDGE CAPITAL SECURITIES
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 5398600
LG

Professional summary

Liam Phelan Griff is a registered financial professional currently at SHOREBRIDGE CAPITAL SECURITIES, LLC located in Summit, New Jersey.

Liam is registered as a RR (Registered Representative) and started their career in finance in 2008. Liam has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 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 Liam Phelan Griff's CRS (Customer Relationship Summary).
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

February 17, 2016 - Present

SHOREBRIDGE CAPITAL SECURITIES, LLC

Office #1: 350 Springfield Avenue Suite #200, Summit, NJ 07901
BD
CRD#: 269991
SUMMIT, NJ
Past

January 8, 2016 - February 8, 2016

SPP CAPITAL PARTNERS L L C

BD
CRD#: 38103
New York, NY
Past

June 4, 2012 - June 14, 2013

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

September 22, 2008 - April 10, 2012

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

August 26, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
California
(8/27/2016)
RR
Connecticut
(8/27/2016)
RR
Florida
(8/27/2016)
RR
Illinois
(1/7/2020)
RR
Louisiana
(8/27/2016)
RR
New Jersey
(8/27/2016)
RR
New York
(2/18/2016)
RR
Ohio
(8/29/2016)
RR
Pennsylvania
(8/27/2016)
RR
Texas
(10/20/2016)
RR
Vermont
(8/27/2016)
RR
Virginia
(8/27/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SHOREBRIDGE CAPITAL SECURITIES, LLC
SHOREBRIDGE CAPITAL ADVISORS, LLC | SHOREBRIDGE CAPITAL SECURITIES, LLC

CRD#: 269991 / SEC#: , 8-69644

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
350 Springfield Avenue Suite #200, Summit, NJ 07901
Mailing Address
350 Springfield Avenue Suite #200, Summit, NJ 07901
Phone number
(646) 869-8791
Established
Delaware since 05/13/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SHOREBRIDGE CAPITAL PARTNERS, LLCMEMBER
BLAGDON, DOUGLAS MILLSCHIEF COMPLIANCE OFFICER1789722
BLAGDON, DOUGLAS MILLSCEO1789722
PARISE, JANICE DRUFINOP2338583

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

SHOREBRIDGE CAPITAL SECURITIES, LLC

CRD#: 269991Summit, NJ 07901

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