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Sarah Griffith

CRD# 865147·Registered 1979 - 2014
Previously Registered: Being a previously registered professional could mean that Sarah 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.

Professional Summary

Sarah Griffith, who also goes by Sarah Irwin Griffith, Sarah Irwin, Sarah Irwin Miller, Sarah Miller, was a registered financial advisor. Sarah was a previously registered financial professional and started their career in finance 1979 - 2014. Sarah had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Sarah Irwin Griffith, Sarah Irwin, Sarah Irwin Miller, Sarah Miller

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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 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.

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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Years of Experience

47 years in the financial services industry

Current & Past Employments

J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Denver, CO
September 30, 2002 - December 17, 2014
SCHNEIDER SECURITIES, INC.·CRD# 16434
BD
Denver, CO
November 22, 1999 - September 30, 2002
JOSEPH CHARLES & ASSOC., INC.·CRD# 3949
BD
Boca Raton, FL
March 21, 1996 - December 2, 1999
D.E. FREY & COMPANY, INC.·CRD# 23595
BD
Denver, CO
October 19, 1994 - March 5, 1996
STIFEL, NICOLAUS & COMPANY, INCORPORATED·CRD# 793
BD
St. Louis, MO
August 25, 1992 - October 19, 1994
DICKINSON & CO.·CRD# 689
BD
Des Moines, IA
July 25, 1991 - August 19, 1992
JJC SECURITIES CO., INC.·CRD# 3144
BD
June 13, 1990 - July 23, 1991
WEDBUSH SECURITIES INC.·CRD# 877
BD
Los Angeles, CA
January 20, 1989 - May 10, 1990
INTEGRATED RESOURCES EQUITY CORPORATION·CRD# 6403
BD
February 1, 1988 - January 9, 1989
DAIN RAUSCHER INCORPORATED·CRD# 7600
BD
April 27, 1985 - February 2, 1988
MORGAN STANLEY DW INC.·CRD# 7556
BD
June 5, 1981 - April 17, 1985
BOETTCHER & COMPANY, INC.·CRD# 101
BD
May 1, 1979 - June 12, 1981

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Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.

J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: 8-50156
BD
Terminated by SEC on 04/04/2016

Contact Information

Established

Georgia since 04/11/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER—
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event

30

Arbitration

12

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2014About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1979About the Series 7 exam

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CRS (Client Relationship Summary)

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

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