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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Griffith is a financial advisor with over 25 years of experience in the industry. James currently works for Fidelity Personal And Workplace Advisors where they provide portfolio management, financial planning, and educational seminars to individuals, businesses and charitable organizations. James is registered as a Registered Representative in California and Texas and is also a Registered Investment Adviser in California and Texas. James has previously worked for a number of firms including BTIG LLC, Knight Capital Americas LLC, and Wells Fargo Securities Inc.
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.
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.
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
CA
12/06/2018 - Present
Fidelity Personal AND Workplace Advisors (MORAGA CA)
CA
11/26/2012 - 05/29/2015
BTIG, LLC (SAN FRANCISCO CA)
CA
01/03/2011 - 10/17/2012
KNIGHT CAPITAL AMERICAS LLC (SAN FRANCISCO CA)
NJ
08/09/2010 - 01/03/2011
KNIGHT DIRECT LLC (JERSEY CITY NJ)
NY
04/03/2008 - 07/02/2010
PIPELINE TRADING SYSTEMS LLC (NEW YORK NY)
NY
05/30/2003 - 04/04/2008
NYFIX MILLENNIUM, L.L.C. (NEW YORK NY)
CT
04/05/1999 - 06/01/2001
PLANCO FINANCIAL SERVICES, INC. (HARTFORD CT)
CA
07/14/1997 - 03/25/1999
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
04/16/1998 - 05/01/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
CA
05/16/1996 - 07/14/1997
ASB FINANCIAL SERVICES (IRVINE CA)
NA
07/25/1995 - 05/16/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
07/31/1995 - 11/17/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
CA
10/25/1993 - 02/03/1995
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
OR
09/10/1992 - 10/25/1993
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
NY
02/06/1992 - 06/09/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/11/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/05/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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