Holly Cafalone
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.
Holly Cafalone, who also goes by Holly Ann Cafalone, Holly Ann Seitz, Holly Seitz, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 2014. Holly had worked at 1 firm and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2014 - July 26, 2018
M. GRIFFITH INVESTMENT SERVICES, INC.
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
Current Firm
M. GRIFFITH INVESTMENT SERVICES, INC.
CRD#: 2078 / SEC#: 801-64649, 8-2259
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MGL ASSOCIATES INC. | SHAREHOLDER | |
| CUCHARALE, CATHERINE ANN | CHIEF COMPLIANCE OFFICER | 3054881 |
| CUCHARALE, CATHERINE ANN | CHIEF OPERATING OFFICER | 3054881 |
| CUCHARALE, CATHERINE ANN | DIRECTOR | 3054881 |
| GRIFFITH, DAVID THOMAS | DIRECTOR | 230042 |
| GRIFFITH, DAVID THOMAS | FINANCIAL AND OPERATIONS PRINCIPAL | 230042 |
| GRIFFITH, DAVID THOMAS | PRESIDENT | 230042 |
| GRIFFITH, JANET NELSON | DIRECTOR | 6886551 |
| GURTOWSKI, MARY LOURDES | CORPORATE SECRETARY | 4649655 |
| GURTOWSKI, MARY LOURDES | DIRECTOR | 4649655 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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