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Detailed Report
David F Griffin
DAVID FRANKLIN GRIFFIN II, DAVID FRANKLIN GRIFFIN II
CRD#: 6875275
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 401 E LAS OLAS BLVD
FORT LAUDERDALE, FL 33301
Registration History
20172018201920202021202220232024202520262 FIRMS2019 - 2023 (4 years)2 FIRMS2023 - Present (1 year)BWORDEN CAPITAL MANAGEMENT LLC (CRD# 148366)2017 - 2018 (<1 year)
License(s)

State Registrations

B
Alabama 4/13/2023
B
Massachusetts 4/13/2023
B
California 11/21/2023
B
New Jersey 4/13/2023
B
Connecticut 4/13/2023
B
New York 4/13/2023
B
Florida 4/10/2023
B
Pennsylvania 4/13/2023
IA
Florida 4/11/2023
B
Texas 4/13/2023
B
Georgia 4/13/2023
IA
Texas 4/13/2023

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

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
401 E LAS OLAS BLVD, FORT LAUDERDALE, FL 33301
Registered with this firm since 4/11/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
401 E LAS OLAS BLVD, FORT LAUDERDALE, FL 33301
Registered with this firm since 4/10/2023
Previous Registration(s)
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IA
 06/12/2019 - 03/23/2023 MORGAN STANLEY (CRD#:149777) Fort Lauderdale, FL
B
 02/21/2019 - 03/23/2023 MORGAN STANLEY (CRD#:149777) Fort Lauderdale, FL
B
 12/20/2017 - 03/29/2018 WORDEN CAPITAL MANAGEMENT LLC (CRD#:148366)
FINRA expelled the firm on 07/25/2022
New York, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.