John Griffin
John Griffin is a registered investment advisor at Osaic Advisory Services, LLC, based in Salinas, CA, with 33 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Corporate Executives, and 7 more. Their firm serves 29,898 clients with $15B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Fees are negotiated between the advisor and the client. The maximum annual fee allowed is 2.50%. Fees can be billed as flat, linear, or tiered rates.
Fee Estimator
Location
Salinas, CA
Get directionsHistory
Regulatory History (1)
Customer Dispute
January 2001Other Business ActivitiesSells Insurance
John is involved in several outside business activities, including serving on the Cortina Homeowners Association board, organizing high school reunions and scholarship funds, owning rental properties, and being a partner in S&A Property Holdings, LLC. He also manages a Fidelity 403(b) account through Securities America Advisory and Arbor Point Advisory, and has an insurance license for variable annuities, dedicating a few hours per week to each of these activities.
Employment History
Current Registrations
Osaic Advisory Services, LLC
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Arbor Point Advisors
Securities America, INC.Broker
Securities America Advisors, INC.
Kms Financial Services, INC
Kms Financial Services, INC.Broker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
State Registrations11 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.
Exams
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