Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Griffin is a financial professional with over 20 years of experience in the industry. Stephen has a strong background in securities and investments, having worked at several prominent firms including Goldman Sachs & Co. LLC, BANC of America Securities LLC, and J.P. Morgan Securities Inc. Stephen is currently registered with Credit Suisse Securities (usa) LLC and holds a variety of licenses and certifications, including Series 3, 7, 24, and 63. Stephen is also a Registered Representative and Investment Advisor Representative. Stephen specializes in providing portfolio management for pooled investment vehicles.
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.
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.
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.
Transaction-based fee
1
2
NY
04/01/2019 - Present
Credit Suisse Securities (usa) LLC (NEW YORK NY)
NY
03/31/2008 - 06/25/2018
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
NY
11/02/2006 - 03/07/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
05/01/2001 - 05/01/2006
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
12/22/1997 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 04/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/10/2007
Series 24 - General Securities Principal Examination
BC
Issued 06/25/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2008
Series 3 - National Commodity Futures Examination
BC
Issued 12/20/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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