Charles W. 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.
Charles William Griffin JR was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 7 firms and has passed the Series 63, Series 7, Series 22, Series 6, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 1993 - June 13, 1994
FFP SECURITIES, INC.
June 4, 1990 - September 28, 1993
WALNUT STREET SECURITIES, INC.
November 1, 1989 - June 6, 1990
ENERIC FINANCIAL SERVICES, INC.
March 31, 1989 - November 2, 1989
MUTUAL SERVICE CORPORATION
October 13, 1983 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
October 28, 1982 - April 30, 1984
IRG SECURITIES, INC.
August 28, 1981 - November 5, 1982
PW SECURITIES, 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
FFP SECURITIES, INC.
CRD#: 16337 / SEC#: , 8-33728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | 100% OWNERSHIP | |
| DOZA, JANICE M | CFO | 4663841 |
| FINDALL, LINDA SUE | SROP | 1187842 |
| FRIEDMAN, TIMOTHY NATHAN | CROP | 1967603 |
| HAEDIKE, CHRISTINE D | CCO, DIRECTOR, FFP SECURITIES, INC. | 2489703 |
| HATTON, ROBERT ALLAN | CHIEF OPERATING OFFICER | 1985166 |
| JUNKINS, CRAIG ALLEN | CEO/PRESIDENT/CHAIRMAN OF THE BOARD | 830565 |
| RODERMUND, ROBIN HENRY | DIRECTOR, FFP SECURITIES, INC. | 2097379 |
| YANNAKAKIS, ANNE KANELA | CHIEF LEGAL OFFICER | 4197441 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 10 |
| Bond | 1 |
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.
