Randall C. Griggs

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CRD#: 822503

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.

Randall Clifton Griggs was a registered financial professional .

Randall is a previously registered financial professional and started their career in finance in 1976. Randall had worked at 11 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 8, 2017 - December 31, 2019

DGS CAPITAL MANAGEMENT

RIA

CRD#: 281938

Matthew, NC

Past

May 14, 2015 - June 1, 2017

VISIONQUEST WEALTH MANAGEMENT, LLC

RIA

CRD#: 135581

CHARLOTTE, NC

Past

March 5, 2008 - December 17, 2015

GRIGGS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 144042

Matthews, NC

Past

November 5, 1999 - January 25, 2001

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

Past

July 9, 1984 - November 8, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 10, 1980 - July 5, 1984

EDWARD JONES

CRD#: 250

Past

February 24, 1978 - April 10, 1980

MORGAN STANLEY DW INC.

CRD#: 7556

Past

February 2, 1978 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

Past

September 16, 1977 - March 1, 1978

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

May 20, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DGS CAPITAL MANAGEMENT

DGS CAPITAL MANAGEMENT | DGS CAPITAL MANAGEMENT, LLC

CRD#: 281938 / SEC#: 801-115241

RIA

Registered Investment Advisory firm - (5/6/2019 Approved)

Massachusetts

Registered Investment Advisory firm - (5/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - (5/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/15/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/2/1989

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/10/1986

General Securities Principal Examination

Current Firm

DGS CAPITAL MANAGEMENT

DGS CAPITAL MANAGEMENT | DGS CAPITAL MANAGEMENT, LLC

CRD#: 281938 / SEC#: 801-115241

RIA

Registered Investment Advisory firm - (5/6/2019 Approved)

Massachusetts

Registered Investment Advisory firm - (5/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - (5/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2019 Terminated)

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Contact information

Main Address

101 Hudson Street 21st Floor, Jersey City, NJ 07302

Mailing Address

Phone number

(646) 992-4370

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DGS CAPITAL MANAGEMENT, LLC - FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	933
AUM (Assets Under Management)	$ 535,534,611

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Texas	ERA - Withdrawn	11/4/2016

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.

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Firm Stability Insights

Randall C. Griggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VISIONQUEST WEALTH MANAGEMENT, LLC

GRIGGS CAPITAL MANAGEMENT, LLC

BIRCHTREE FINANCIAL SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

Primary Firm SEC Registration

DGS CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 2/18/1983

Series 7

Date: 5/15/1976

Series 53

Date: 6/2/1989

Series 24

Date: 2/10/1986

Current Firm

DGS CAPITAL MANAGEMENT

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

DGS CAPITAL MANAGEMENT

TRUST BUT VERIFY

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