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MG

Mark C. Griffith

Some features on this profile are disabled
CRD#: 871198
MG

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.

Mark Cullen Griffith was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1979. Mark had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

April 20, 2012 - November 20, 2013

ASSET STRATEGY CONSULTANTS LLC

RIA
CRD#: 110800
NATICK, MA
Past

July 1, 2011 - March 2, 2015

TRIAD ADVISORS LLC

BD
CRD#: 25803
NATICK, MA
Past

August 10, 2009 - November 19, 2018

ASSET STRATEGY ADVISORS, LLC

RIA
CRD#: 139879
NATICK, MA
Past

June 11, 2009 - August 4, 2009

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
PITTSBURGH, PA
Past

May 27, 2003 - August 4, 2009

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
PITTSBURGH, PA
Past

January 31, 2001 - February 10, 2003

INVESMART ADVISORS INC

RIA
CRD#: 108731
PITTSBURGH, PA
Past

January 25, 2001 - February 6, 2003

INVESMART SECURITIES, LLC

BD
CRD#: 104168
PITTSBURGH, PA
Past

August 22, 1984 - March 8, 2002

NEWEDGE SECURITIES, LLC

BD
CRD#: 10674
PITTSBURGH, PA
Past

December 15, 1981 - August 20, 1984

LPL ENTERPRISE, LLC

BD
CRD#: 8733
Past

September 19, 1979 - September 29, 1981

BABBITT, MYERS & COMPANY, INC.

BD
CRD#: 63

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".
AS
ASSET STRATEGY CONSULTANTS LLC
ASSET STRATEGY CONSULTANTS | ASSET STRATEGY CONSULTANTS LLC

CRD#: 110800 / SEC#: 801-55215

RIA
Registered Investment Advisory firm - (2/3/1998 Approved)

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
IAR
Series 66
Date: 6/8/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/2/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1979
General Securities Representative Examination

Current Firm

AS
ASSET STRATEGY CONSULTANTS LLC
ASSET STRATEGY CONSULTANTS | ASSET STRATEGY CONSULTANTS LLC

CRD#: 110800 / SEC#: 801-55215

RIA
Registered Investment Advisory firm - (2/3/1998 Approved)
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Contact information

Main Address
Six North Park Drive Suite 208, Hunt Valley, MD 21030
Mailing Address
Phone number
(410) 528-8282
Established
Firm type
Fiscal year end
# of Employees
17

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE FINAL 3.31.2025 (4/2/2025)
ADV PART 2 BROCHURE 3-24-2023 (4/2/2025)

Regulatory assets under management

Total Number of Accounts72
AUM (Assets Under Management)$ 5,174,881,147

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

ASSET STRATEGY CONSULTANTS LLC

CRD#: 110800

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