John James Griffith
AIF®Professional Summary
John James Griffith, AIF®, who also goes by John James Griffith Jr, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1979 - 2021. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
John joined CapTrust Advisors in Tampa in 2003. He became part of CAPTRUST in 2017 when CapTrust Advisors joined CAPTRUST. John is currently a principal and financial advisor responsible for providing retirement plan and investment advisory services to fiduciaries of corporate retirement plans. Prior to joining the firm, John worked as a consultant at Raulin Inc. and he has worked in the industry since 1977.
Other Aliases
John James Griffith Jr
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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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Credentials
Years of Experience
47 years in the financial services industry
Current & Past Employments
Education
Pennsylvania State University
History with a concentration in American economic history, BA
History with a concentration in American economic history, BA
Duquesne University School of Law
Juris Doctor
Juris Doctor
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Current Firm
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC
Contact Information
Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609Phone Number
(919) 870-6822Established
North Carolina since 11/21/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | — |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP/PFO/POO | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| LEDDY, ANN | CHIEF COMPLIANCE OFFICER | 5024384 |
| ROLAND, RAYMOND SCOTT | SENIOR MANAGER, FINANCE/FINOP | 4267751 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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