Sarah Griffith
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.
Sarah Griffith, who also goes by Sarah Irwin Griffith, Sarah Irwin, Sarah Irwin Miller, Sarah Miller, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 1979. Sarah had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2002 - December 17, 2014
J.P. TURNER & COMPANY, L.L.C.
November 22, 1999 - September 30, 2002
SCHNEIDER SECURITIES, INC.
March 21, 1996 - December 2, 1999
JOSEPH CHARLES & ASSOC., INC.
October 19, 1994 - March 5, 1996
D.E. FREY & COMPANY, INC.
August 25, 1992 - October 19, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 25, 1991 - August 19, 1992
DICKINSON & CO.
June 13, 1990 - July 23, 1991
JJC SECURITIES CO., INC.
January 20, 1989 - May 10, 1990
WEDBUSH SECURITIES INC.
February 1, 1988 - January 9, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 27, 1985 - February 2, 1988
DAIN RAUSCHER INCORPORATED
June 5, 1981 - April 17, 1985
MORGAN STANLEY DW INC.
May 1, 1979 - June 12, 1981
BOETTCHER & COMPANY, 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
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
