MG
MG
Michael Griffin
39 Years of Experience
Richmond, VA
3 DisclosuresBrokerSells Insurance
Michael Griffin is a registered investment advisor, based in Richmond, VA, with 39 years of industry experience.
Location
1612 Lauderdale Dr., Ste. 200, Richmond, VA, 23238
Get directionsHistory
Regulatory History (3)
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.
Financial
October 2018Final
Customer Dispute
April 2008Denied
Regulatory
February 1998Final
Other Business ActivitiesSells Insurance
Michael is an advisory representative of a registered investment advisor (RIA), spending about three-quarters of his time trading. He is also an insurance agent with Strategic Planning Solutions, LLC, dedicating about a quarter of his time to insurance sales, and owns Griffin Capital Lantern Financial, LLC, spending minimal time on it.
Employment History
Current Registrations
Cambridge Investment Research, INC.
December 2021 - Present · 4 yrs 5 mos
Cambridge Investment Research, INC.Broker
December 2021 - Present · 4 yrs 5 mos
Cambridge Investment Research Advisors, INC.
December 2021 - Present · 4 yrs 5 mos
Previous Registrations
Prudential Financial Planning Services
February 2018 - December 2021 · 3 yrs 10 mos
Pruco Securities, LLC.Broker
February 2018 - December 2021 · 3 yrs 10 mos
Prudential Financial Planning Services
February 2018 - February 2018 · 0 mos
Signator Investors, INC.Broker
May 2016 - February 2018 · 1 yr 9 mos
Signator Investors, INC.
May 2016 - February 2018 · 1 yr 9 mos
Transamerica Financial Advisors, INC.
September 2009 - May 2016 · 6 yrs 8 mos
Transamerica Financial Advisors, INCBroker
September 2009 - May 2016 · 6 yrs 8 mos
Transamerica Financial Advisors, INC.
August 2001 - September 2009 · 8 yrs 1 mo
Transamerica Financial Advisors, INC.Broker
June 2001 - September 2009 · 8 yrs 3 mos
1717 Capital Management CompanyBroker
August 1990 - June 2001 · 10 yrs 10 mos
Liberty Securities CorporationBroker
December 1986 - July 1990 · 3 yrs 7 mos
State Registrations5 states
FLIDNCSCVA
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.