Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Griffith is a registered representative with TIAA-CREF Individual & Institutional Services, LLC. James has been in the industry since September 11, 1994 and is registered in 51 states. James has passed the Series 63, Series 66, Series 7, and the SIE exams. Prior to joining TIAA-CREF Individual & Institutional Services, LLC, James worked at Edward Jones, MKM Partners LLC, Lake Street Capital Markets, LLC, Esposito Securities, LLC, Sterne, Agee & Leach, Inc., and Southwest Securities, Inc. James provides financial planning services and portfolio management services for individuals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
TX
12/14/2022 - Present
Tiaa-Cref Individual & Institutional Services, LLC (Dallas TX)
TX
03/27/2019 - 05/06/2021
EDWARD JONES (KATY TX)
TX
01/11/2016 - 06/18/2018
MKM PARTNERS LLC (Dallas TX)
MN
10/12/2015 - 01/12/2016
LAKE STREET CAPITAL MARKETS, LLC (MINNEAPOLIS MN)
TX
05/20/2013 - 12/03/2013
ESPOSITO SECURITIES, LLC (DALLAS TX)
TX
01/23/2006 - 10/04/2012
STERNE, AGEE & LEACH, INC. (DALLAS TX)
TX
11/23/1998 - 01/20/2006
SOUTHWEST SECURITIES, INC. (DALLAS TX)
TX
06/20/1989 - 07/08/1998
CAPITAL INSTITUTIONAL SERVICES, INC. (DALLAS TX)
BOTH
Issued 04/17/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/18/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/18/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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