WG
WG

William Griffin

30 Years of Experience
Dallas, TX
Broker

William Griffin is a registered investment advisor at Morgan Stanley, based in Dallas, TX, with 30 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B

Fee Structure

Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location

2121 North Pearl Street, Suite 500, Dallas, TX, 75201

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

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Other Business Activities

William is a director for GMFS, LLC (a subprime mortgage lender) and Griffin & Griffin Oil & Gas LLC. He also serves as Chairman of the Finance Committee at LSU's E.J. Ourso College of Business and is involved in private investing through Old Head LLC and CG Partners LLC.

Employment History
Current Registrations
Morgan StanleyBroker
March 2015 - Present · 11 yrs 4 mos
Morgan Stanley
March 2015 - Present · 11 yrs 4 mos
Previous Registrations
Barclays Capital INC.
January 2009 - April 2015 · 6 yrs 3 mos
Barclays Capital INC.Broker
September 2008 - April 2015 · 6 yrs 7 mos
Lehman Brothers INC.
January 2004 - October 2008 · 4 yrs 9 mos
Lehman Brothers INC.Broker
January 2004 - September 2008 · 4 yrs 8 mos
Banc of America Investment Services, INC.
August 2003 - January 2004 · 5 mos
Banc of America Investment Services, INC.Broker
August 2003 - January 2004 · 5 mos
Banc of America Securities LLC
January 1998 - August 2003 · 5 yrs 7 mos
Banc of America Securities LLCBroker
January 1998 - August 2003 · 5 yrs 7 mos
J.P. Morgan Securities INC.Broker
November 1995 - January 1998 · 2 yrs 2 mos
State Registrations38 states
AKALARAZCACOCTDCDEFLGAIAILINKSKYLAMAMDMIMOMSMTNCNENJNVNYOHOKPAPRSCTNTXUTVAWY
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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