Jack Griffith
Jack Griffith is a registered investment advisor at LPL Financial LLC, based in Columbia, SC, with 40 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Columbia, SC
Get directionsHistory
Regulatory History (4)
Customer Dispute
January 2018Customer Dispute
February 2017Customer Dispute
August 2014Customer Dispute
July 2011Other 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
LPL Financial LLC
Previous Registrations
Spc
Sigma Financial CorporationBroker
Janney Montgomery Scott LLCBroker
Janney Montgomery Scott LLC
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
A. G. Edwards & Sons, INC.Broker
A. G. Edwards & Sons, INC.
Legg Mason Wood Walker INC
Legg Mason Wood Walker, IncorporatedBroker
Prudential Securities IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations8 states
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.