WG
William E. Griffith
PRINCIPAL SECURITIES
Fresno, CA 93711
Some features on this profile are disabled
CRD#: 843082
WG
Professional summary
William Edward Griffith, AIF®, ChFC®, CLU®, who also goes by Bill Griffith, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Fresno, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. William has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, SIE, Series 7, Series 1, Series 51, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Griffith
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.
**SEVERAL COMPANIES, LIFE & HEALTH INSURANCE BROKERAGE, INSURANCE COMPANIES WE OCCASIONALLY PLACE BUSINESS WITH. **CENTRAL VALLEY STRATEGIC WEALTH MANAGEMENT, INC. POSITION: Vice President NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/05/2024 ADDRESS: 1010 W Alluvial Ave Ste 111, Fresno CA 93711-5896, United States DESCRIPTION: This is the corporation for our DBA. I am a shareholder. Its primary purposes are to employ our staff, handle our group expenses, and coordinate our marketing efforts. It won't have any income, I won't receive any income from it, it is merely an entity to handle the business expenses and be the employer for our shared staff employees. **CENTRAL VALLEY STRATEGIC WEALTH MANAGEMENT & INSURANCE SERVICES POSITION: Financial Advisor NATURE: Insurance, IAR services, Commission-based, Retirement Services, Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2017 ADDRESS: 1010 W. Alluvial Ave., Suite 111, Fresno CA 93711, United States DESCRIPTION: Insurance, IAR services, Commission-based, Retirement Services, Financial Planning. Only updating DBA because we are adding more financial advisors to our team.
CRS (Client Relationship Summary) - RIA
Click below to view William Edward Griffith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Edward Griffith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
February 14, 2000 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1010 W Alluvial Ave Ste 111, Fresno, CA 93711RIA
BD
CRD#: 1137
Fresno, CA
Current
December 23, 1986 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1010 W Alluvial Ave Ste 111, Fresno, CA 93711RIA
BD
CRD#: 1137
Fresno, CA
Past
April 5, 1982 - January 5, 1987
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
October 20, 1980 - August 14, 1990
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
September 27, 1977 - March 28, 1982
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/15/2002)
RR
California(12/23/1986)
IAR
California(2/14/2000)
RR
Delaware(2/20/2024)
RR
Florida(3/5/2025)
RR
Idaho(12/17/2022)
RR
Illinois(8/25/2022)
RR
Maine(11/10/2023)
RR
Nevada(6/4/2001)
RR
Oklahoma(9/24/2021)
RR
Oregon(5/13/1999)
RR
Texas(9/21/2022)
IAR
Texas(9/21/2022)
RR
Utah(3/12/2025)
RR
Washington(8/15/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/13/1977
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
