BG
Brian C. Griggs
NUVEEN SECURITIES
New York, NY 10017
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CRD#: 5645220
BG
Professional summary
Brian Charles Griggs, CFA, who also goes by Brian C Griggs, Brian Griggs, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2018. Brian has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian C Griggs | Brian Griggs
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 Brian Charles Griggs'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®
Experience
Current
March 20, 2018 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017BD
CRD#: 469
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(1/3/2019)
RR
Alaska(1/3/2019)
RR
Arizona(1/3/2019)
RR
Arkansas(1/3/2019)
RR
California(1/3/2019)
RR
Colorado(1/3/2019)
RR
Connecticut(1/3/2019)
RR
Delaware(1/3/2019)
RR
District of Columbia(1/3/2019)
RR
Florida(1/3/2019)
RR
Georgia(1/3/2019)
RR
Hawaii(1/3/2019)
RR
Idaho(1/3/2019)
RR
Illinois(11/27/2018)
RR
Indiana(1/3/2019)
RR
Iowa(1/3/2019)
RR
Kansas(1/3/2019)
RR
Kentucky(1/3/2019)
RR
Louisiana(1/3/2019)
RR
Maine(1/3/2019)
RR
Maryland(1/3/2019)
RR
Massachusetts(1/3/2019)
RR
Michigan(1/3/2019)
RR
Minnesota(1/3/2019)
RR
Mississippi(1/3/2019)
RR
Missouri(1/3/2019)
RR
Montana(1/3/2019)
RR
Nebraska(1/3/2019)
RR
Nevada(1/3/2019)
RR
New Hampshire(1/3/2019)
RR
New Jersey(1/3/2019)
RR
New Mexico(1/3/2019)
RR
New York(1/3/2019)
RR
North Carolina(1/3/2019)
RR
North Dakota(1/3/2019)
RR
Ohio(1/3/2019)
RR
Oklahoma(1/3/2019)
RR
Oregon(1/3/2019)
RR
Pennsylvania(1/3/2019)
RR
Puerto Rico(1/3/2019)
RR
Rhode Island(1/3/2019)
RR
South Carolina(1/3/2019)
RR
South Dakota(1/3/2019)
RR
Tennessee(1/3/2019)
RR
Texas(1/3/2019)
RR
Utah(1/3/2019)
RR
Vermont(1/3/2019)
RR
Virgin Islands(1/3/2019)
RR
Virginia(1/3/2019)
RR
Washington(1/3/2019)
RR
West Virginia(1/3/2019)
RR
Wisconsin(1/3/2019)
RR
Wyoming(1/3/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS
CRD#: 469 / SEC#: , 8-13464
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 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.
