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David Griffith

Lifemark Securities CORP.
26 Years of Experience
Utica, NY
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

David Griffith is a registered investment advisor at Lifemark Securities CORP., based in Utica, NY, with 26 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,053 clients with $420M in assets under management.

Lifemark Securities CORP.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
80 advisors
Number of Clients
1,053 clients
Average Client Portfolio
$404K average
Assets Under Management
$424.9M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Representative fees generally range from 0.35% to 0.5% based on asset level, up to a maximum of 2.0%. Total client fees may exceed 2.0% depending on program selection and third-party manager fees. Fees are negotiable.

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

Location

2108 Genesee Street, Utica, NY, 13502

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History

Regulatory History (4)
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
November 2025
Settled
Customer Dispute
October 2024
Settled
Customer Dispute
March 2024
Award / Judgment
Customer Dispute
November 2023
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David is self-employed as a tax preparer, small business consultant, and insurance sales & service provider through D. K. Griffith and Company since 2007. This takes about 10-20% of his time.

Employment History
Current Registrations
Lifemark Securities CORP.
October 2015 - Present · 11 yrs
Lifemark Securities CORP.
May 2015 - Present · 11 yrs 5 mos
Lifemark Securities CORP.Broker
May 2015 - Present · 11 yrs 5 mos
Previous Registrations
Leigh Baldwin & CO., LLCBroker
September 2012 - May 2015 · 2 yrs 8 mos
Ibn Financial Services, INC.Broker
April 2007 - October 2012 · 5 yrs 6 mos
Leigh Baldwin & CO., LLCBroker
November 2006 - April 2007 · 5 mos
M. Griffith Locke Investment Services INC.Broker
January 2001 - November 2006 · 5 yrs 10 mos
Robert W. Baird & CO. IncorporatedBroker
August 2000 - January 2001 · 5 mos
Northwestern Mutual Investment Services, LLCBroker
April 2000 - January 2001 · 9 mos
M. Griffith Locke Investment Services INC.Broker
August 1999 - February 2000 · 6 mos
State Registrations20 states
CACTDCFLGAILMAMDMEMINCNHNMNYOHPASCTNTXVA
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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