Michael Edward Griffith Jr.
Professional Summary
Michael Edward Griffith JR., who also goes by Michael Edward Griffith Jr, Michael Edward Griffith Jr, Michael Edward Griffith, Jr, Michael E Griffithjr, is a registered financial advisor currently at DWS DISTRIBUTORS, INC. located in Jacksonville, Florida. Michael is registered as a RR (Registered Representative) and started their career in finance in 2015. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Edward Griffith Jr, Michael Edward Griffith Jr, Michael Edward Griffith, Jr, Michael E Griffithjr
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
Contact Information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022Phone Number
(312) 537-7000Established
Delaware since 09/20/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | — |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER AND DIRECTOR | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| O'CONNELL, BRIAN PATRICK | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 3089261 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | VICE PRESIDENT | 1950330 |
| VASSIL, JASON TODD | DIRECTOR AND VICE PRESIDENT | 4477245 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
Regulatory Event
5Arbitration
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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.
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State Registrations and Notice Filings
(2/9/2022)
(2/9/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2019About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2019About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Edward Griffith JR.'s CRS (Customer Relationship Summary).
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