Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ann? Claim Your ProfileAnn Margaret Griffith is a securities professional with over 20 years of experience in the financial industry. Ann is currently registered with Cuatro Capital Securities LLC and Cboe Private Markets. Prior to her current role, Ann held positions with various firms, including PICTET OVERSEAS INC., RSP INVESTMENTS, LLC, and ACERVUS SECURITIES, INC. Ann is a licensed Series 7, Series 9, Series 10, Series 14, Series 63, and Series 79TO. Ann holds a Bachelor of Arts degree in Economics from the University of Maryland.
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.
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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PR
07/18/2024 - Present
Cuatro Capital Securities LLC (SAN JUAN PR)
NA
07/20/2022 - 08/09/2024
PICTET OVERSEAS INC. (MONTREAL, QC )
DC
11/05/2013 - 08/01/2024
RSP INVESTMENTS, LLC (WASHINGTON DC)
NY
03/12/2019 - 02/12/2024
ACERVUS SECURITIES, INC. (New York NY)
VA
12/05/2013 - 12/28/2015
BERKADIA CAPITAL MARKETS LLC (THE PLAINS VA)
DC
09/15/2015 - 10/19/2015
COLLINGWOOD CAPITAL ADVISORS, LLC (WASHINGTON DC)
CT
08/29/2011 - 06/28/2013
SIP NORDIC AMERICA LLC (STAMFORD CT)
NY
03/09/2012 - 04/20/2012
VCAP SECURITIES, LLC (NEW YORK NY)
CA
07/20/2005 - 07/15/2010
FBR CAPITAL MARKETS & CO. (LOS ANGELES CA)
NY
01/13/1998 - 05/24/2002
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
MD
10/06/1997 - 10/21/1998
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
BC
Issued 12/02/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/27/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/12/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1997
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
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