Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Joseph Griffin is a financial advisor who has been in the industry since November 21, 1987. John is currently registered with Morgan Stanley and is also registered with the state of Texas. John has previously worked with firms such as Credit Suisse Securities (USA) LLC, J.P. Morgan Securities LLC, Foreside Fund Services, LLC, Credit Suisse First Boston LLC, Donaldson, Lufkin & Jenrette Securities Corporation, Prudential Securities Incorporated, Smith Barney Shearson Inc., Lehman Brothers Inc., John Hancock Distributors, Inc., John Hancock Mutual Life Insurance Company, and Paine Webber Incorporated. John holds Series 3, 7, and 63 licenses, as well as a Series 65 license.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
PA
05/05/2020 - Present
Morgan Stanley (West Conshohocken PA)
PA
04/24/2013 - 05/02/2016
CREDIT SUISSE SECURITIES (USA) LLC (WEST CONSHOHOCKEN PA)
PA
02/05/2011 - 04/25/2013
J.P. MORGAN SECURITIES LLC (PHILADELPHIA PA)
ME
12/01/2004 - 11/30/2005
FORESIDE FUND SERVICES, LLC (PORTLAND ME)
NY
11/03/2000 - 05/03/2004
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
07/12/1995 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
09/10/1993 - 07/14/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 09/24/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
01/22/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
MA
04/30/1991 - 04/04/1992
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
04/30/1991 - 04/04/1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
NJ
08/19/1986 - 11/08/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 02/14/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/17/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/2011
Series 7 - General Securities Representative Examination
BC
Issued 01/04/1989
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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