Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Lloyd Griffin is a financial advisor with over 40 years of experience in the financial services industry. Mark is currently registered with Raymond James & Associates, Inc. and has previously worked with Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC, Wells Fargo Brokerage Services, L.L.C., AXA Advisors, LLC, Coastal Securities L.P., Bigelow & Company, A. G. Edwards & Sons, Inc., Dain Bosworth Incorporated, Kemper Securities Group, Inc., Boettcher & Company, Inc., Kirchner, Moore and Company, E. F. Hutton & Company Inc., Paine, Webber, Jackson & Curtis Incorporated, and Piedmont Capital Corporation. Mark holds Series 7TO, Series 63, Series 65, and Series 1 licenses. Mark's areas of expertise include providing financial planning services and portfolio management for individuals and businesses.
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.
Please see note in schedule d - miscellaneous
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
CO
02/12/2019 - Present
Raymond James & Associates, Inc. (DENVER CO)
CO
01/03/2011 - 03/06/2018
WELLS FARGO CLEARING SERVICES, LLC (DENVER CO)
CO
03/19/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (DENVER CO)
MN
06/03/2003 - 12/31/2003
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
MN
03/19/2001 - 08/12/2002
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
NY
01/13/2000 - 04/03/2001
AXA ADVISORS, LLC (NEW YORK NY)
TX
08/19/1998 - 04/07/1999
COASTAL SECURITIES L.P. (HOUSTON TX)
GA
05/30/1996 - 04/08/1998
BIGELOW & COMPANY (ATLANTA GA)
MO
12/07/1994 - 05/21/1996
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
11/26/1991 - 10/13/1994
DAIN BOSWORTH INCORPORATED
MO
09/04/1990 - 06/20/1991
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
04/27/1983 - 09/04/1990
BOETTCHER & COMPANY, INC.
NA
03/08/1976 - 04/18/1983
KIRCHNER, MOORE AND COMPANY
NA
02/07/1975 - 04/15/1976
E. F. HUTTON & COMPANY INC
NA
04/24/1972 - 06/23/1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
12/18/1970 - 08/17/1971
PIEDMONT CAPITAL CORPORATION
IA
Issued 03/23/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/1972
Series 000 - General Securities Principal Examination
BC
Issued 11/27/1970
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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