Maurice L. 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.
Maurice Leslie Griffin, who also goes by Les Griffin, was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1970. Maurice had worked at 8 firms and has passed the Series 65, Series 63, PC, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2005 - November 30, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 31, 2005 - November 30, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 12, 1997 - April 7, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
January 23, 1997 - April 7, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
July 31, 1993 - November 7, 1996
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
October 5, 1973 - April 11, 1988
E. F. HUTTON & COMPANY INC
November 18, 1970 - October 10, 1973
RAUSCHER PIERCE SECURITIES CORPORATION
July 22, 1970 - October 10, 1973
RAUSCHER PIERCE SECURITIES CORPORATION
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 11/17/1961
Registered Representative ExaminationSeries 40
Date: 12/17/1971
Registered Principal ExaminationSeries 12
Date: 2/19/1971
NYSE Branch Manager ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
