Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maurice? Claim Your ProfileMaurice Griffin is a financial advisor with Stifel, Nicolaus & Company, Inc., with over 30 years of experience in the industry. Maurice is currently registered as a Registered Representative (RA) in Illinois. Previously, Maurice was registered with WELLS FARGO ADVISORS, LLC and A. G. EDWARDS & SONS, INC. Maurice has experience working with a variety of clients, including high-net-worth individuals, corporations, and other businesses. Maurice is also registered with the following states: Arizona, California, Colorado, Delaware, Florida, Georgia, Illinois, Indiana, Kentucky, Maine, Maryland, Minnesota, Missouri, Nevada, New Jersey, New York, Ohio, Tennessee, Virginia, and Wisconsin.
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.
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
IL
09/03/2014 - Present
Stifel, Nicolaus & Company, Inc. (LAKE FOREST IL)
IL
01/01/2008 - 09/04/2014
WELLS FARGO ADVISORS, LLC (LAKE FOREST IL)
IL
05/12/1989 - 01/03/2008
A. G. EDWARDS & SONS, INC. (LAKE FOREST IL)
NA
12/17/1985 - 05/18/1989
THE STUART-JAMES COMPANY, INCORPORATED
BOTH
Issued 03/06/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/31/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/01/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2015
Series 31 - Futures Managed Funds Examination
BC
Issued 12/14/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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