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William Griffin

W.A. Griffin Financial Services INC.
25 Years of Experience
Gainesville, GA
1 DisclosureSells Insurance
View SEC Summary
View SEC Summary

William Griffin is a registered investment advisor at W.A. Griffin Financial Services INC., based in Gainesville, GA, with 25 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 65 clients with $15M in assets under management.

W.A. Griffin Financial Services INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
65 clients
Average Client Portfolio
$224K average
Assets Under Management
$14.6M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The annual fee is negotiable based upon certain criteria (e.g., historical relationship, type of assets, anticipated future earning capacity, anticipated future additional assets, dollar amounts of assets to be managed, related accounts, account composition, negotiations with Clients, etc.).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Gainesville, GA

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History

Regulatory History (1)
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.
Customer Dispute
October 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

William is an insurance agent and may occasionally sell term life insurance and/or fixed annuities since 1992. This activity is investment-related.

Employment History
Current Registrations
W.A. Griffin Financial Services INC.
September 2019 - Present · 6 yrs 8 mos
Previous Registrations
Questar Capital CorporationBroker
August 2014 - May 2017 · 2 yrs 9 mos
Questar Asset Management, INC.
August 2014 - May 2017 · 2 yrs 9 mos
Investment Advisors CORP
April 2010 - August 2014 · 4 yrs 4 mos
Broker Dealer Financial Services CORP.Broker
April 2010 - August 2014 · 4 yrs 4 mos
Morgan Stanley Smith BarneyBroker
June 2009 - May 2010 · 11 mos
Morgan Stanley Smith Barney LLC
June 2009 - May 2010 · 11 mos
Citigroup Global Markets INC.
March 2009 - June 2009 · 3 mos
Citigroup Global Markets INC.Broker
February 2009 - June 2009 · 4 mos
Invest Financial Corporation
November 2005 - March 2009 · 3 yrs 4 mos
Invest Financial CorporationBroker
October 2005 - March 2009 · 3 yrs 5 mos
Ing Financial Partners, INC
September 2003 - November 2005 · 2 yrs 2 mos
Ing Financial Partners, INC.Broker
June 2002 - November 2005 · 3 yrs 5 mos
Bb&t Investment Services, INC.
May 2002 - June 2002 · 1 mo
Bb&t Investment Services, INC.Broker
June 2001 - June 2002 · 1 yr
Bb&t Investment Services, INC.Broker
May 2001 - May 2001 · 0 mos
Invest Financial CorporationBroker
May 2000 - June 2001 · 1 yr 1 mo
Suntrust Securities, INC.Broker
January 1999 - May 2000 · 1 yr 4 mos
Nationwide Investment Services CorporationBroker
December 1996 - January 1998 · 1 yr 1 mo
State Registrations3 states
FLGATX
Advisor

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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