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IG

Ivan L. Griffin

Some features on this profile are disabled
CRD#: 5514223
IG

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.

Ivan Luke Griffin, who also goes by IVan L Griffin, Luke Griffin, was a registered financial professional .

Ivan is a previously registered financial professional and started their career in finance in 2008. Ivan had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ivan L Griffin | Luke Griffin

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 25, 2025 - March 17, 2026

REGIMENT SECURITIES, LLC.

BD
CRD#: 311302
CHICAGO, IL
Past

September 20, 2024 - April 30, 2025

CREEKSTONE CAPITAL

BD
CRD#: 325715
FRANKLIN, TN
Past

April 25, 2022 - September 19, 2024

REGIMENT SECURITIES, LLC.

BD
CRD#: 311302
CHICAGO, IL
Past

February 21, 2019 - December 3, 2020

GUARDIAN STRATEGIC WEALTH PLANNERS

RIA
CRD#: 300255
FRANKLIN, TN
Past

September 20, 2018 - March 18, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
FRANKLIN, TN
Past

September 20, 2018 - November 6, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
FRANKLIN, TN
Past

April 25, 2018 - June 8, 2018

PRIVATE CLIENT SERVICES, LLC

BD
CRD#: 120222
Brentwood, TN
Past

August 15, 2017 - August 27, 2018

PRIME CAPITAL FINANCIAL

RIA
CRD#: 288712
SPRINGFIELD, MO
Past

August 14, 2017 - April 27, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
SPRINGFIELD, MO
Past

August 19, 2013 - August 14, 2017

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
Camdenton, MO
Past

December 8, 2011 - August 14, 2017

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
Camdenton, MO
Past

October 29, 2008 - December 5, 2011

PFS INVESTMENTS INC.

BD
CRD#: 10111
BROOKFIELD, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/19/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/20/2009
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 7
Date: 5/22/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/27/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RS
REGIMENT SECURITIES, LLC.
REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

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

Main Address
420 N. Wabash Avenue, Chicago, IL 60611
Mailing Address
420 N. Wabash Avenue 430, Chicago, IL 60611
Phone number
(773) 480-7561
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (34 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#
REGIMENT, LLC.MEMBER
BURNHAM, STEPHEN TYLERSHAREHOLDER/PRINCIPAL4663613
D&A CAPITAL PARTNERS LLCMEMBER
CAVANAUGH, MICHAEL ALANCEO/CCO4794844
JONES, SHARON DOSTERFINOP/PFO/POO3124470

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

REGIMENT SECURITIES, LLC.

CRD#: 311302

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