Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Griffin? Claim Your ProfileGriffin Guarino is a financial advisor with Wells Fargo Securities, LLC. Griffin has been in the financial services industry since 2020. Griffin has experience in a variety of financial products and services, including investment company products, variable contracts, operations, private securities offerings, direct participation programs, investment banking, and general securities. Griffin is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 63, Series 6, Series 99, Series 82, Series 22, Series 79, Series 7, and SIE licenses. Griffin is also registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. Prior to joining Wells Fargo Securities, LLC, Griffin worked at TCG Securities, L.L.C.
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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2
NC
04/29/2021 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
DC
07/16/2020 - 04/07/2021
TCG SECURITIES, L.L.C. (WASHINGTON DC)
BC
Issued 08/06/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/07/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 07/16/2020
Series 7TO - General Securities Representative Examination
BC
Issued 05/29/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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