Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Griffin is a registered representative with Morgan Stanley. Kevin has been in the industry since 1999. Prior to joining Morgan Stanley, Kevin has held positions at other firms including BMO Capital Markets Corp., KGS-Alpha Capital Markets, L.P., Cantor Fitzgerald & Co., Banc of America Securities LLC, Goldman, Sachs & Co., and Smith Barney Inc. Kevin is licensed in numerous states and holds licenses for the Series 63, Series 66, and Series 7 exams. Kevin is a general securities principal and has completed the Series 24 exam. Kevin is also licensed to offer investment advisory services and has completed the SIE exam.
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
NY
11/08/2023 - Present
Morgan Stanley (New York NY)
NY
09/01/2018 - 12/10/2018
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
NY
05/09/2016 - 09/01/2018
KGS-ALPHA CAPITAL MARKETS, L.P. (NEW YORK NY)
NY
04/04/2005 - 12/15/2015
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
03/09/1999 - 04/12/2005
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
08/22/1997 - 03/11/1999
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
08/15/1994 - 08/12/1997
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 10/25/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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