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CS

Calvin M. Smith

GRIFFIN FINANCIAL GROUP
Reading, PA 19603
Some features on this profile are disabled
CRD#: 5945544
CS

Professional summary

Calvin Mitchell Smith is a registered financial professional currently at GRIFFIN FINANCIAL GROUP, LLC located in Reading, Pennsylvania.

Calvin is registered as a RR (Registered Representative) and started their career in finance in 2011. Calvin has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Calvin Mitchell Smith's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 22, 2011 - Present

GRIFFIN FINANCIAL GROUP, LLC

Office #1: 607 Washington Street, Reading, PA 19603
BD
CRD#: 119004
Reading, PA

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
(3/24/2016)
RR
Delaware
(10/18/2011)
RR
Florida
(12/20/2022)
RR
Illinois
(3/24/2016)
RR
Massachusetts
(1/31/2019)
RR
New Jersey
(9/22/2011)
RR
Pennsylvania
(10/18/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/2011
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 79
Date: 9/21/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GF
GRIFFIN FINANCIAL GROUP, LLC
GRIFFIN FINANCIAL | GRIFFIN FINANCIAL GROUP, LLC

CRD#: 119004 / SEC#: , 8-53711

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

Main Address
607 Washington Street, Reading, PA 19603
Mailing Address
607 Washington Street, Reading, PA 19603
Phone number
(610) 478-2105
Established
Pennsylvania since 08/16/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
GRIFFIN HOLDINGS GROUP, LLCMEMBER
CHOQUETTE, ERNEST JCHAIRMAN4494340
DUROFCHALK, JOHN MICHAELCFO, FINOP4494297
NOAH, SCOTT IVESCHIEF COMPLIANCE OFFICER2334448
O'LEARY, MATTHEW TODDCEO AND COO6077840
WALDRON, JEFFREY PETERPRINCIPAL4581878

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

GRIFFIN FINANCIAL GROUP, LLC

CRD#: 119004Reading, PA 19603

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