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Thomas Mark Griffiths

Great Valley Advisor Group, Inc.

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About Thomas Mark Griffiths

Thomas Griffiths has been a financial advisor since 1999. Thomas is currently registered as a Registered Investment Advisor Representative at Great Valley Advisor Group, Inc. Previously, Thomas was with Associated Securities Corp. and LPL Financial LLC.

Firm Information

Thomas Griffiths is currently registered with Great Valley Advisor Group, Inc.. Great Valley Advisor Group, Inc. is an investment advisor headquartered in Wilmington, Delaware. The firm has over 175 investment advisor representatives and manages over $7.3 billion in assets for clients including high-net-worth individuals, pension and profit sharing plans, and individuals other than high-net-worth. The firm provides a range of services including financial planning, portfolio management, and educational seminars.
Great Valley Advisor Group, Inc.

1200 PENNSYLVANIA AVE

WILMINGTON, DE 19806

$7.34B

Assets Under Management

87

Total Clients

144

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business 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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consulting services

Consulting services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

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

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Thomas Griffiths’s Registration & Firm History

PA

06/24/2015 - Present

Great Valley Advisor Group, Inc. (NEWTOWN PA)

PA

12/22/2008 - 09/08/2009

ASSOCIATED SECURITIES CORP. (NEWTON PA)

PA

09/01/2006 - 12/31/2008

FSC SECURITIES CORPORATION (NEWTOWN PA)

PA

10/01/2000 - 09/05/2006

WACHOVIA SECURITIES, LLC (NEWTOWN PA)

NC

08/10/2000 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

NC

08/24/1999 - 07/26/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 12/22/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/25/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/03/2003

Series 7 - General Securities Representative Examination

BC

Issued 08/23/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Thomas Mark Griffiths. Review regulatory record here.
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