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John James Griffith

John J. Griffith

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CRD#: 871250
John James 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.

John James Griffith, AIF®, who also goes by John James Griffith Jr, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1979. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

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.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John James Griffith Jr

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.
Name: Crystal Reflections, A Story About Glassmaking and Forbidden Love in Pittsburgh's Victorian Age Investment-Related: No. Address: private residence Nature: author of book Position/Title: sole proprietor Start: 11/20/2020 Hours/Month: 20 Hours during Market Hours: 0 Duties: marketing and distribution of book sales

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®
AIF®

Accredited Investment Fiduciary

Education

Pennsylvania State University

BA - History with a concentration in American economic history

Duquesne University School of Law

Experience

Past

August 17, 2017 - May 24, 2021

CAPFINANCIAL SECURITIES, LLC.

BD
CRD#: 126291
Tampa, FL
Past

July 18, 2017 - January 8, 2024

CAPTRUST

RIA
CRD#: 175112
Tampa, FL
Past

December 12, 2007 - June 14, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
TAMPA, FL
Past

August 14, 2007 - December 31, 2017

CAPTRUST ADVISORS, LLC

RIA
CRD#: 142941
TAMPA, FL
Past

March 6, 2003 - June 14, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
TAMPA, FL
Past

January 25, 2001 - March 28, 2002

INVESMART SECURITIES, LLC

BD
CRD#: 104168
PITTSBURGH, PA
Past

September 12, 1996 - March 1, 2002

NEWEDGE SECURITIES, LLC

BD
CRD#: 10674
PITTSBURGH, PA
Past

September 19, 1979 - December 17, 1995

HEFREN-TILLOTSON, INC.

BD
CRD#: 53
PITTSBURGH, PA

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
IAR
Series 65
Date: 8/10/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/28/2000
General Securities Principal Examination

Current Firm

CS
CAPFINANCIAL SECURITIES, LLC.
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

CRD#: 126291 / SEC#: , 8-65870

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Phone number
(919) 870-6822
Established
North Carolina since 11/21/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
THE CAPFINANCIAL GROUP, LLCMEMBER
BUCHANAN, DENISE MCGEECCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO1284353
EARLS, MARY CHRISTINESENIOR DIRECTOR/FINOP6178047
HOYLE, WILSON SMITH IIIMANAGING DIRECTOR2444392
SHOFF, DERICK DONMANAGING DIRECTOR1140640
STROTHER, MICHAEL DAVIDSENIOR DIRECTOR, FINOP2457427

Disclosures

Regulatory Event1

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

CAPFINANCIAL SECURITIES, LLC.

Principal, Financial AdvisorCRD#: 126291

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Contact information

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