Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Edward Griffith is a financial advisor at Principal Securities, Inc., with over 40 years of experience in the financial services industry. William has been registered with FINRA since 1977 and holds multiple licenses and certifications, including the Series 7, Series 63, Series 65, and Series 24. William's areas of expertise include financial planning, retirement planning, and investment management. William's past experience includes working for EQUICO SECURITIES, INC. and MUTUAL BENEFIT FINANCIAL SERVICE COMPANY.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
CA
09/21/2022 - Present
Principal Securities, Inc. (Fresno CA)
NY
10/20/1980 - 08/14/1990
EQUICO SECURITIES, INC. (NEW YORK NY)
NA
04/05/1982 - 01/05/1987
MUTUAL BENEFIT FINANCIAL SERVICE COMPANY
NA
09/27/1977 - 03/28/1982
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
IA
Issued 12/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/26/2004
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 02/15/2003
Series 4 - Registered Options Principal Examination
BC
Issued 03/30/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1989
Series 7 - General Securities Representative Examination
BC
Issued 09/13/1977
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
Not sure William Griffith is the right advisor for you? Invested Better is here to help.
