Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Craig Griffis is an active Registered Representative with LPL Financial LLC in Toledo, OH. James Griffis has 44 years of experience in the financial services industry. James Griffis's prior registrations include Lincoln Financial Advisors Corporation, Ameriprise Financial Services, Inc., Wells Fargo Advisors, LLC, McDonald Investments Inc., Fifth Third/The Ohio Company, Hamilton Investments, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Tucker, Anthony & R. L. Day, Inc., and Paine Webber Incorporated. James Griffis has a Series 3, Series 7, Series 8, and Series 63 licenses.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
OH
04/26/2022 - Present
LPL Financial LLC (TOLEDO OH)
OH
08/21/2018 - 04/27/2022
LINCOLN FINANCIAL ADVISORS CORPORATION (TOLEDO OH)
OH
05/25/2011 - 08/10/2018
AMERIPRISE FINANCIAL SERVICES, INC. (Pepper Pike OH)
OH
06/25/2004 - 05/26/2011
WELLS FARGO ADVISORS, LLC (PERRYSBURG OH)
OH
10/09/1998 - 07/06/2004
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
OH
11/19/1991 - 09/21/1998
FIFTH THIRD/THE OHIO COMPANY (CINCINNATI OH)
NA
06/01/1990 - 12/02/1991
HAMILTON INVESTMENTS, INC.
NY
06/21/1988 - 06/12/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
01/07/1987 - 04/12/1988
TUCKER, ANTHONY & R. L. DAY, INC.
NA
01/31/1980 - 01/08/1987
PAINEWEBBER INCORPORATED
NA
03/23/1978 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BC
Issued 07/12/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/26/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2005
Series 3 - National Commodity Futures Examination
BC
Issued 03/18/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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