Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Griffiths is a financial advisor with Lockton RE Capital Markets, LLC. William has been in the financial services industry since 2006. Previously, William was with Lockton Investment Securities, LLC, Lockton Capital, LLC, RBS Securities Inc., and Morgan Stanley & Co., Incorporated. William is registered with FINRA and holds the Series 7, 7TO, 79TO, 63, SIE, and 24 licenses.
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.
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2
NY
07/25/2023 - Present
Lockton RE Capital Markets, LLC (NEW YORK NY)
NY
02/15/2023 - 09/26/2023
LOCKTON INVESTMENT SECURITIES, LLC (New York NY)
NY
05/12/2021 - 06/09/2021
LOCKTON CAPITAL, LLC (New York NY)
CT
07/29/2008 - 01/06/2016
RBS SECURITIES INC. (STAMFORD CT)
NY
08/07/1998 - 11/21/2007
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 06/09/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/05/2023
Series 24 - General Securities Principal Examination
BC
Issued 05/20/2021
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/11/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/03/2021
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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