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JG

John B. Griff

Some features on this profile are disabled
CRD#: 868874
JG

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.

John Benjamin Griff, who also goes by John B Griff, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1979. John had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John B Griff

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

January 18, 2013 - October 15, 2013

GLEACHER PARTNERS LLC

BD
CRD#: 47342
NEW YORK, NY
Past

December 13, 2011 - October 15, 2013

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

August 25, 2004 - November 21, 2007

NBF SECURITIES (USA) CORP.

BD
CRD#: 25541
MONTREAL,
Past

July 24, 2003 - November 21, 2007

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
SAN FRANCISCO, CA
Past

October 14, 1997 - September 6, 2002

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

May 4, 1993 - April 9, 1997

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 17, 1990 - May 5, 1993

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

April 17, 1990 - May 5, 1993

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

April 17, 1990 - May 5, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 4, 1987 - September 13, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 19, 1985 - September 30, 1986

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

July 25, 1979 - November 26, 1984

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471

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.

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/14/2012
General Securities Principal Examination

Current Firm

GP
GLEACHER PARTNERS LLC
GLEACHER & CO. LLC | GLEACHER PARTNERS LLC

CRD#: 47342 / SEC#: , 8-51800

BD
Terminated by SEC on 05/31/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GLEACHER & COMPANY, INC.SHAREHOLDER
EDMISTON, BRYAN JOSEPHFINOP5743897
KWOK, ANNISCHIEF COMPLIANCE OFFICER5822123

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.

Company Information

GLEACHER PARTNERS LLC

CRD#: 47342

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