Mark D. Griffin
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.
Mark D Griffin, who also goes by Mark Griffin, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2009. Mark had worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2012 - October 14, 2014
FRONTIER INVESTMENT MANAGEMENT CO
September 14, 2011 - February 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 2011 - February 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 2009 - July 8, 2010
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FRONTIER INVESTMENT MANAGEMENT CO
CRD#: 110430 / SEC#: 801-36925
Contact information
Red Flags
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