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CRD#: 37739
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

GRIFFIN CAPITAL SECURITIES, LLC is located at 2010 Main Street Suite 530, Irvine, CA 92614 and was first established at Los Angeles, Delaware in 09/28/2015. After operating for 10 years, GRIFFIN CAPITAL SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of GRIFFIN CAPITAL SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. GRIFFIN CAPITAL SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at GRIFFIN CAPITAL SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 2 disclosures, 2 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access GRIFFIN CAPITAL SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at GRIFFIN CAPITAL SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for GRIFFIN CAPITAL SECURITIES, LLC Comes From

Understanding the Statistics for GRIFFIN CAPITAL SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
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Clients
Total
No Information
Individuals
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HNWI
No Information
Firm Disclosures
Regulatory Event
2

FIRM INFORMATION

Main Address
2010 Main Street Suite 530, Irvine, CA 92614
Mailing Address
2010 Main Street Suite 530, Irvine, CA 92614
Firm Size
Small
Phone Number
(949) 270-9300
Established
Delaware since 09/28/2015
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
APOLLO MANAGEMENT HOLDINGS, L.P.MEMBER
GOOD, ALBACCO2504071
ISHIOKA, RODNEY SHOJISECRETARY3124257
LANG, TUAN HUUFINOP6682817
WALKER, JACOB FREDERICKCEO & CHAIRMAN OF THE BOARD5020296

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Advisor's working at GRIFFIN CAPITAL SECURITIES, LLC

AG

Alba Good

Alba Fajardo, Alba Landaverde
RR
CRD#: 2504071
Location:
Irvine, CA 92614
Company:
GRIFFIN CAPITAL SECURITIES, LLC
Disclosures:
Experience:
31 years
RI

Rodney Shoji Ishioka

RR
CRD#: 3124257
Location:
Irvine, CA 92614
Company:
GRIFFIN CAPITAL SECURITIES, LLC
Disclosures:
Experience:
27 years
JW

Jacob Frederick Walker

Jacob F Walker, Jacob Walker, Jake Walker
RR
CRD#: 5020296
Location:
New York, NY 10019-2701
Company:
APOLLO GLOBAL SECURITIES, LLC
Disclosures:
Experience:
20 years
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