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Alec William Griffin

Franklin Distributors, LLC

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About Alec William Griffin

Alec William Griffin is a financial advisor currently registered with Franklin Distributors, LLC. Alec has been in the financial services industry since 2007. Alec has passed the Series 6, Series 7, and the SIE exams, and has also earned the Series 24 (General Securities Principal Examination). Previously, Alec was registered with UBS Financial Services Inc. , Pruco Securities, LLC., Fidelity Brokerage Services LLC, National Financial Services LLC, Morgan Stanley DW Inc., and First Investors Corporation. Alec was last registered with UBS Financial Services Inc. on May 20, 2022. The main office of Franklin Distributors, LLC is in St. Petersburg, FL.

Firm Information

Alec Griffin is currently registered with Franklin Distributors, LLC. Franklin Distributors, LLC is a Limited Liability Company formed in December 2000. It is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

369

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Alec Griffin’s Registration & Firm History

FL

06/03/2022 - Present

Franklin Distributors, LLC (St. Petersburg FL)

NJ

10/23/2020 - 05/20/2022

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NJ

10/16/2019 - 08/19/2020

PRUCO SECURITIES, LLC. (NEWARK NJ)

NJ

12/09/2008 - 01/04/2019

FIDELITY BROKERAGE SERVICES LLC (JERSEY CITY NJ)

NJ

08/21/2006 - 12/14/2006

NATIONAL FINANCIAL SERVICES LLC (JERSEY CITY NJ)

NY

08/30/2005 - 04/08/2006

MORGAN STANLEY DW INC. (PURCHASE NY)

NJ

04/02/2001 - 05/14/2002

FIRST INVESTORS CORPORATION (EDISON NJ)

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Licenses & Designations

BC

Issued 01/22/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/23/2001

Series 7 - General Securities Representative Examination

BC

Issued 03/30/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alec William Griffin.
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