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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Miles Griffin is a financial advisor at Raymond James & Associates, Inc. Alan has been in the financial services industry since 1978, working with clients in Santa Barbara, CA. Alan has extensive experience in the industry, working with individual investors, corporations, and institutional clients. Alan is a registered representative with FINRA and is licensed to sell securities in multiple states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
10/15/2018 - Present
Raymond James & Associates, Inc. (SANTA BARBARA CA)
CA
11/25/2013 - 10/27/2018
D.A. DAVIDSON & CO. (SANTA BARBARA CA)
CA
11/04/2013 - 11/25/2013
CROWELL WEEDON & CO. (SANTA BARBARA CA)
CA
11/23/2009 - 11/04/2013
CROWELL, WEEDON & CO. (SANTA BARBARA CA)
CA
06/01/2009 - 12/14/2009
MORGAN STANLEY SMITH BARNEY (SANTA BARBARA CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SANTA BARBARA CA)
NY
06/11/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/26/1978 - 06/10/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 10/01/1992
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/18/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/22/1982
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 06/17/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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