Brandon J. Griffiths
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.
Brandon Jace Griffiths was a registered financial professional .
Brandon is a previously registered financial professional and started their career in finance in 2008. Brandon had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2019 - June 22, 2021
RETIREMENT PLANNERS OF AMERICA
November 30, 2016 - December 13, 2018
EDELMAN FINANCIAL ENGINES
August 31, 2015 - November 30, 2016
FINANCIAL ENGINES ADVISOR CENTER, LLC
March 23, 2011 - July 16, 2012
CHASE INVESTMENT SERVICES CORP.
December 24, 2008 - October 6, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
RETIREMENT PLANNERS OF AMERICA
CRD#: 157222 / SEC#: 801-72262
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RETIREMENT PLANNERS OF AMERICA
CRD#: 157222 / SEC#: 801-72262
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,760 |
| AUM (Assets Under Management) | $ 3,975,227,271 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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