Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you L. cliff? Claim Your ProfileL. Cliff Griffin Jr. is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in New York, New York. L. Cliff Griffin Jr. has been in the industry since May 1989. L. Cliff Griffin Jr. is registered with the following securities regulators: Financial Industry Regulatory Authority (FINRA), Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, Missouri, Montana, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, and Washington. L. Cliff Griffin Jr. is also registered with the following state regulators: Connecticut, New York, and Texas as an Investment Advisor Representative. L. Cliff Griffin Jr. holds the following securities licenses: Series 3, Series 7, Series 9, Series 10, Series 63, and Series 65.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
06/13/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
10/17/2008 - 06/28/2017
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
01/26/1999 - 10/21/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/23/1989 - 01/28/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 12/17/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/25/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/01/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/11/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/1991
Series 3 - National Commodity Futures Examination
BC
Issued 05/20/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure L. cliff Griffin is the right advisor for you? Invested Better is here to help.
