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Richard Lucian Giffin

Amuni Financial, Inc.

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About Richard Lucian Giffin

Richard Lucian Giffin is a registered investment advisor representative with Amuni Financial, Inc. Richard has been in the financial services industry since 1989. Richard currently holds Series 63, 65, 7, and SIE licenses. Richard has been active in the financial services industry since 1989 and specializes in financial planning and investment management for individuals, families, businesses, and retirement planning.

Firm Information

Richard Giffin is currently registered with Amuni Financial, Inc.. Amuni Financial, Inc., a corporation approved in 1980, provides financial planning services and portfolio management for individuals, businesses, and high-net-worth clients. The firm offers educational seminars and helps clients select other advisors. They are registered with the SEC and in 48 states.
Amuni Financial, Inc.

720 SECOND AVE S

ST PETERSBURG, FL 33701

$130.91M

Assets Under Management

Not reported

Total Clients

19

Total Financial Advisors

Services Offered

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.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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financial planning services available through clearing agent agreement

Financial planning services available through clearing agent agreement

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Giffin’s Registration & Firm History

AR

01/01/2025 - Present

Amuni Financial, Inc. (LITTLE ROCK AR)

AR

08/08/1990 - 12/23/1992

POWELL & SATTERFIELD, INC. (LITTLE ROCK AR)

GA

04/25/1990 - 08/13/1990

RUFF SECURITIES CORPORATION (ATLANTA GA)

NA

02/22/1989 - 01/01/1990

SWINK & COMPANY, INC.

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Licenses & Designations

IA

Issued 04/19/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/02/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/02/1992

Series 53 - Municipal Securities Principal Examination

BC

Issued 04/23/1992

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/18/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard Lucian Giffin. Review regulatory record here.
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