linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Brian Michael Griffin

RBC Capital Markets, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Brian? Claim Your Profile

About Brian Michael Griffin

Brian Michael Griffin is a financial advisor with over 34 years of experience in the financial services industry. Brian has been with RBC Capital Markets, LLC since 2009. Prior to that, Brian worked at Ferris, Baker Watts, LLC, PNC Investments, J.J.B. Hilliard, W.L. Lyons, Inc., PNC Brokerage Corp and Copeland Equities, Inc. Brian holds Series 6, 7, 63 and 65 licenses, as well as the SIE. Brian is registered to provide investment advice in Arizona, Delaware, Florida, Iowa, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas and Virginia. Brian is a strong advocate for his clients and their financial success.

Firm Information

Brian Griffin is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Brian Griffin’s Registration & Firm History

PA

11/26/2019 - Present

RBC Capital Markets, LLC (PITTSBURGH PA)

PA

07/15/2005 - 03/13/2009

FERRIS, BAKER WATTS, LLC (MONROEVILLE PA)

PA

01/01/2004 - 08/04/2005

PNC INVESTMENTS (PITTSBURGH PA)

KY

06/01/2002 - 01/01/2004

J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)

PA

03/31/1994 - 06/01/2002

PNC BROKERAGE CORP (PITTSBURGH PA)

MD

01/05/1993 - 03/15/1994

CALVERT SECURITIES CORPORATION (BETHESDA MD)

NJ

04/22/1988 - 01/05/1993

COPELAND EQUITIES, INC. (SOMERSET NJ)

Not sure if Brian Michael Griffin is right for you?

Licenses & Designations

IA

Issued 09/25/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/28/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/24/1995

Series 7 - General Securities Representative Examination

BC

Issued 04/21/1988

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Brian Michael Griffin. Review regulatory record here.
Not sure if Brian Michael Griffin is right for you?