Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Griffin is a financial professional with over 30 years of experience in the industry. He currently holds an active registration with the state of Kentucky as an investment advisor representative and is affiliated with Northwestern Mutual Investment Services, LLC. Philip has a diverse background and has previously held roles at Robert W. Baird & Co. Incorporated. His licenses include Series 6, 7, 63, and 66 and he also holds the SIE designation. Philip provides investment research and referrals to other advisors as well as other services to his clients.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
KY
06/13/2008 - Present
Northwestern Mutual Investment Services, LLC (LEXINGTON KY)
WI
09/04/1998 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 06/22/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2004
Series 7 - General Securities Representative Examination
BC
Issued 12/30/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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