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ROBERT J GRIFFIN
JOHN GRIFFIN, ROBERT JOHN GRIFFIN
CRD#: 4760860
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 4951 SAVARESE CIR
TAMPA, FL 33634
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2011 - Present (13 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2007 - 2011 (3 years)BAXA ADVISORS, LLC (CRD# 6627)2007 - 2007 (<1 year)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)2005 - 2006 (1 year)IADEUTSCHE BANK SECURITIES INC. (CRD# 2525)2009 - 2011 (1 year)
Disclosure(s)
View By:
9/20/2019
Financial
Final
License(s)

State Registrations

B
Florida 1/5/2012

IA
Texas 6/24/2011

IA
Florida 3/20/2017

B
Texas 1/3/2014

IA
Maryland 6/16/2011

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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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)
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
4951 SAVARESE CIR, TAMPA, FL 33634
Registered with this firm since 6/16/2011

IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
4951 SAVARESE CIR, TAMPA, FL 33634
Registered with this firm since 6/16/2011

Previous Registration(s)
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IA
06/10/2009 - 05/27/2011 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) BALTIMORE, MD
B
08/09/2007 - 05/27/2011 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) BALTIMORE, MD
B
05/03/2007 - 06/15/2007 AXA ADVISORS, LLC (CRD#:6627) COLUMBIA, MD
B
11/27/2006 - 04/17/2007 METLIFE SECURITIES INC. (CRD#:14251) BALTIMORE, MD
B
11/27/2006 - 04/17/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) BALTIMORE, MD
B
02/10/2005 - 11/22/2006 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) OWINGS MILLS, MD
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B
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.