RG
Ryan P. Griswold
ROTHSCHILD & CO US
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 5571869
RG
Professional summary
Ryan P Griswold, who also goes by Ryan Patrick Griswold, Ryan Griswold, is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.
Ryan is registered as a RR (Registered Representative) and started their career in finance in 2008. Ryan has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ryan Patrick Griswold | Ryan Griswold
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.
CRS (Client Relationship Summary) - BD
Click below to view Ryan P Griswold'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®
NoneExperience
Current
August 18, 2022 - Present
ROTHSCHILD & CO US INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 2910
NEW YORK, NY
Past
October 1, 2008 - July 31, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
September 8, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
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
Alabama(8/18/2022)
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Alaska(8/18/2022)
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Arizona(8/18/2022)
RR
Arkansas(8/18/2022)
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California(8/18/2022)
RR
Colorado(8/18/2022)
RR
Connecticut(8/18/2022)
RR
Delaware(8/18/2022)
RR
District of Columbia(8/18/2022)
RR
Florida(8/18/2022)
RR
Georgia(8/18/2022)
RR
Hawaii(8/18/2022)
RR
Idaho(8/18/2022)
RR
Illinois(8/18/2022)
RR
Indiana(8/18/2022)
RR
Iowa(8/18/2022)
RR
Kansas(8/18/2022)
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Kentucky(8/18/2022)
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Louisiana(8/18/2022)
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Maine(8/18/2022)
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Maryland(8/18/2022)
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Massachusetts(8/18/2022)
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Michigan(8/18/2022)
RR
Minnesota(8/18/2022)
RR
Mississippi(8/18/2022)
RR
Missouri(8/18/2022)
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Montana(8/18/2022)
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Nebraska(8/18/2022)
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Nevada(8/18/2022)
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New Hampshire(8/18/2022)
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New Jersey(8/18/2022)
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New Mexico(8/18/2022)
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New York(8/18/2022)
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North Carolina(8/18/2022)
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North Dakota(8/18/2022)
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Ohio(8/18/2022)
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Oklahoma(8/18/2022)
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Oregon(8/18/2022)
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Pennsylvania(8/18/2022)
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Puerto Rico(8/18/2022)
RR
Rhode Island(8/18/2022)
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South Carolina(8/18/2022)
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South Dakota(8/18/2022)
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Texas(8/18/2022)
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Utah(8/18/2022)
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Vermont(8/18/2022)
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Virgin Islands(8/18/2022)
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Virginia(8/18/2022)
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Washington(8/18/2022)
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West Virginia(8/18/2022)
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Wisconsin(8/18/2022)
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Wyoming(8/18/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
R&
ROTHSCHILD & CO US INC.
NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 403-3500
Established
Delaware since 07/20/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 1 |
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.
