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Jack Griffith

LPL Financial LLC
40 Years of Experience
Columbia, SC
4 DisclosuresBroker
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Jack Griffith is a registered investment advisor at LPL Financial LLC, based in Columbia, SC, with 40 years of industry experience. Jack is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Columbia, SC

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2018
Settled
Customer Dispute
February 2017
Settled
Customer Dispute
August 2014
Denied
Customer Dispute
July 2011
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Jack is associated with Upstream Investment Partners as a DBA for his LPL business since May 2023. This activity takes nearly full-time, with 120 hours per month, including 8 hours during securities trading, and accounts for 100% of his time.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2023 - Present · 3 yrs 5 mos
LPL Financial LLC
May 2023 - Present · 3 yrs 5 mos
Previous Registrations
Spc
July 2021 - May 2023 · 1 yr 10 mos
Sigma Financial CorporationBroker
July 2021 - May 2023 · 1 yr 10 mos
Janney Montgomery Scott LLCBroker
January 2014 - August 2021 · 7 yrs 7 mos
Janney Montgomery Scott LLC
January 2014 - August 2021 · 7 yrs 7 mos
Ameriprise Financial Services, INC.
October 2009 - January 2014 · 4 yrs 3 mos
Ameriprise Financial Services, INC.Broker
October 2009 - January 2014 · 4 yrs 3 mos
Ameriprise Advisor Services, INC.
May 2007 - October 2009 · 2 yrs 5 mos
Ameriprise Advisor Services, INC.Broker
May 2007 - October 2009 · 2 yrs 5 mos
A. G. Edwards & Sons, INC.Broker
May 2004 - May 2007 · 3 yrs
A. G. Edwards & Sons, INC.
May 2004 - May 2007 · 3 yrs
Legg Mason Wood Walker INC
September 1998 - May 2004 · 5 yrs 8 mos
Legg Mason Wood Walker, IncorporatedBroker
July 1998 - May 2004 · 5 yrs 10 mos
Prudential Securities IncorporatedBroker
November 1995 - July 1998 · 2 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1986 - November 1995 · 9 yrs 10 mos
State Registrations8 states
AZDCFLGANCRISCTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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