SG
SG
Scott Griffin
33 Years of Experience
Rotterdam Junction, NY
1 DisclosureBrokerSells Insurance
Scott Griffin is a registered investment advisor at Griffin Financial Services, based in Rotterdam Junction, NY, with 33 years of industry experience. Their practice areas include Investment Management. Their firm serves 29 clients with $7.2M in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
29 clients
Average Client Portfolio
$248K average
Assets Under Management
$7.2M
Fee Structure
Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 2.00% |
| $100K - $200K | 1.75% |
| $200K - $275K | 1.65% |
| $275K - $350K | 1.55% |
| $350K - $500K | 1.45% |
| $500K - $600K | 1.35% |
| $600K - $750K | 1.25% |
| $750K+ | 1.20% |
Fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Rotterdam Junction, NY
Get directionsHistory
Regulatory History (1)
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Regulatory
August 2015Final
Other Business ActivitiesSells Insurance
Scott is the sole proprietor and owner of Griffin Financial Services, a registered investment advisor, dedicating about half his time to it. He also sells life, accident, and health insurance.
Employment History
Current Registrations
Griffin Financial Services
April 2022 - Present · 4 yrs 1 mo
Apw Capital, INC.
March 2005 - Present · 21 yrs 2 mos
Apw Capital, INC.Broker
March 2005 - Present · 21 yrs 2 mos
Previous Registrations
Griffin Financial Services
March 2015 - December 2017 · 2 yrs 9 mos
Investors Capital CORP.Broker
April 1999 - March 2005 · 5 yrs 11 mos
Sunpoint Securities, INC.Broker
February 1997 - January 1999 · 1 yr 11 mos
Securities America, INC.Broker
June 1995 - February 1997 · 1 yr 8 mos
Baird, Patrick & CO., INC.Broker
April 1992 - July 1995 · 3 yrs 3 mos
State Registrations24 states
ARCACTDCFLGAHIIAINMAMDMNNCNDNHNJNMNYOHORPARITXVT
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.