Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Griffith is an Investment Adviser Representative and a Registered Representative with Lifemark Securities Corp. based in Utica, New York. David is a highly experienced investment professional with a strong focus on individual investors, financial planning and selection of other advisors. David has been in the financial services industry since 1999, working with a range of firms including Leigh Baldwin & Co., LLC, IBN Financial Services, Inc., and M. Griffith Locke Investment Services Inc. David has a broad range of industry experience, including expertise in securities, investment management, financial planning and tax preparation.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
NY
08/20/2021 - Present
Lifemark Securities Corp. (Utica NY)
NY
09/19/2012 - 05/12/2015
LEIGH BALDWIN & CO., LLC (UTICA NY)
NY
04/02/2007 - 10/05/2012
IBN FINANCIAL SERVICES, INC. (UTICA NY)
NY
11/14/2006 - 04/02/2007
LEIGH BALDWIN & CO., LLC (UTICA NY)
NY
01/31/2001 - 11/09/2006
M. GRIFFITH LOCKE INVESTMENT SERVICES INC. (NEW HARTFORD NY)
WI
08/09/2000 - 01/23/2001
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
WI
04/11/2000 - 01/23/2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
NY
08/16/1999 - 02/03/2000
M. GRIFFITH LOCKE INVESTMENT SERVICES INC. (NEW HARTFORD NY)
IA
Issued 12/17/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/09/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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