Individual Firm
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Steven Craig Griffiths
STEVEN CRAIG GRIFFITHS, Steven Griffiths
CRD#: 3016360
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1040 STONY HILL RD
YARDLEY, PA 19067
YARDLEY, PA 19067
0
Disclosures
18
Years of Experience
View By:
State Registrations
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Arizona 10/31/2018
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New York 10/31/2018
B
California 10/31/2018
B
North Carolina 11/1/2018
B
Colorado 10/31/2018
B
Ohio 10/31/2018
B
Connecticut 10/31/2018
B
Oregon 10/31/2018
B
District of Columbia 10/31/2018
B
Pennsylvania 1/23/2018
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Florida 10/31/2018
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Pennsylvania 1/23/2018
B
Georgia 10/31/2018
B
Rhode Island 10/31/2018
B
Hawaii 10/31/2018
B
South Carolina 10/31/2018
B
Illinois 10/31/2018
B
Tennessee 10/31/2018
B
Maryland 10/31/2018
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Texas 10/31/2018
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Massachusetts 10/31/2018
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Texas 10/31/2018
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Michigan 10/31/2018
B
Utah 10/31/2018
B
Minnesota 10/31/2018
B
Vermont 10/31/2018
B
Mississippi 10/31/2018
B
Virginia 10/31/2018
B
New Hampshire 12/22/2021
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Washington 10/31/2018
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New Jersey 10/31/2018
SRO Registrations
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Registered with this firm since 1/23/2018
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Registered with this firm since 12/12/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/03/2007 - 06/23/2011 | DOYLESTOWN, PA | |
IA | 11/13/2002 - 03/21/2007 | PENNINGTON, NJ | |
B | 05/31/2001 - 03/21/2007 | PENNINGTON, NJ | |
B | 06/02/2000 - 03/16/2001 | CINCINNATI, OH | |
B | 03/25/1998 - 01/08/1999 | NEWARK, NJ |
PENNINGTON, NJ
05/31/2001 - 03/21/2007
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.