Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Griffin is a financial advisor with over 25 years of experience in the financial industry. Paul currently works at Hsbc Securities (usa) Inc., focusing on providing financial planning advice and portfolio management services. Previously, Paul worked at Keybanc Capital Markets Inc., BMO Capital Markets Corp., Cowen and Company, and Oppenheimer & Co. Inc. Paul holds a variety of licenses and certifications, including the Series 7, Series 24, Series 63, and Series 79TO exams.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
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.
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2
MA
02/13/2020 - Present
Hsbc Securities (usa) Inc. (BOSTON MA)
MA
05/04/2015 - 10/11/2019
KEYBANC CAPITAL MARKETS INC. (BOSTON MA)
MA
07/27/2010 - 02/13/2015
BMO CAPITAL MARKETS CORP. (BOSTON MA)
MA
07/18/2008 - 07/22/2010
COWEN AND COMPANY (BOSTON MA)
MA
01/14/2008 - 07/02/2008
OPPENHEIMER & CO. INC. (BOSTON MA)
MA
01/01/1997 - 01/14/2008
CIBC WORLD MARKETS CORP. (BOSTON MA)
BC
Issued 04/10/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/30/2020
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/24/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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