Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edwin Griffin is a financial advisor currently associated with Ba Securities, LLC. James Griffin has been in the financial services industry since October 5, 2007. James Griffin is currently registered in 15 states and has passed the Series 7, Series 63, Series 24, Series 82, SIE, and Series 6 exams. Prior to joining Ba Securities, LLC, James Griffin was affiliated with Morgan Creek Capital Distributors, LLC, Stillpoint Capital, LLC, and Kalorama Capital, LLC.
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
VA
10/31/2019 - Present
BA Securities, LLC (ARLINGTON VA)
NC
04/17/2019 - 10/15/2019
MORGAN CREEK CAPITAL DISTRIBUTORS, LLC (CHAPEL HILL NC)
FL
05/30/2017 - 03/27/2019
STILLPOINT CAPITAL, LLC (TAMPA FL)
DC
05/10/2007 - 12/12/2009
KALORAMA CAPITAL, LLC (WASHINGTON DC)
NA
08/17/1994 - 12/15/1994
ALEX. BROWN & SONS INCORPORATED
NA
07/21/1993 - 06/03/1994
COWEN & CO.
NA
04/16/1987 - 02/24/1988
ALEX. BROWN & SONS INCORPORATED
NA
02/21/1986 - 08/12/1986
PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED
NA
04/18/1985 - 09/19/1985
DREXEL BURNHAM LAMBERT INCORPORATED
NA
03/23/1981 - 03/22/1985
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
12/18/1980 - 02/23/1981
FIRST INVESTORS CORPORATION
BC
Issued 05/17/2017
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/10/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2017
Series 82 - Limited Representative-Private Securities Offerings
BC
Issued 05/09/2007
Series 7 - General Securities Representative Examination
BC
Issued 10/23/1981
Series 5 - Interest Rate Options Examination
BC
Issued 12/16/1980
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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