Thomas Lewis Griffin
Professional Summary
Thomas Lewis Griffin, who also goes by Tom Griffin, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1980 - 1998. Thomas had worked at 10 firms and has passed the Series 63, Series 3, Series 15, Series 5, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Griffin
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
JOSEPH E. HARDGROVE INVESTMENT SECURITIES, INC. | WORLD FINANCIAL SERVICES, INC. | OMEGA SECURITIES, INC.
Contact Information
Established
Texas since 07/11/1975Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRYANT, TAMERA ANN | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | 2486047 |
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Nov 1983Series 5 — Interest Rate Options Examination
Passed Nov 1983Series 12 — NYSE Branch Manager Examination
Passed Jan 1983Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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