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JAMES THOMAS GRIFFIN
CRD#: 2912402
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2141 ROSECRANS AVE STE 4100
[RBO]
EL SEGUNDO, CA 90245
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2003 (3 years)2 FIRMS2003 - 2004 (<1 year)2 FIRMS2004 - 2011 (6 years)2 FIRMS2011 - Present (14 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2000 (<1 year)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1997 - 1999 (2 years)
License(s)

State Registrations

B
Arizona 5/20/2014

B
Missouri 11/11/2015

B
California 1/3/2011

B
Nevada 12/27/2016

IA
California 1/3/2011

B
New York 12/2/2021

B
Colorado 5/30/2023

B
Ohio 3/15/2021

B
Florida 10/8/2014

B
Texas 2/4/2019

B
Hawaii 1/3/2011

IA
Texas 2/4/2019

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2141 ROSECRANS AVE STE 4100 [RBO], EL SEGUNDO, CA 90245
ANAHEIM HILLS, CA
Registered with this firm since 1/3/2011

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2141 ROSECRANS AVE STE 4100 [RBO], EL SEGUNDO, CA 90245
ANAHEIM HILLS, CA
Registered with this firm since 1/3/2011

Previous Registration(s)
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IA
07/23/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) EL SEGUNDO, CA
B
07/23/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) EL SEGUNDO, CA
IA
08/01/2003 - 07/01/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SHERMAN OAKS, CA
B
08/01/2003 - 07/01/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
IA
05/30/2000 - 08/07/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) ENCINO, CA
B
04/18/2000 - 08/07/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
07/12/1999 - 03/21/2000 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
07/23/1997 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
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Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.