David Griffith
David Griffith is a registered investment advisor at Lifemark Securities CORP., based in Utica, NY, with 26 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,434 clients with $460M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LifeMark Securities Corp. charges a fee based on a percentage of your account value for investment advisory services. This fee is negotiable and depends on the account value, investment program, service level, and complexity of your financial situation. The fee ranges from 0.35% to 0.5% depending on the asset level, with a maximum of 2.0%. Additional fees may include custodian fees, platform fees, manager fees, and transaction fees. The fees are deducted directly from your account monthly or quarterly.
Location
2108 Genesee Street, Utica, NY, 13502
Get directionsHistory
Regulatory History (5)
Customer Dispute
November 2025Customer Dispute
December 2024Customer Dispute
October 2024Customer Dispute
March 2024Customer Dispute
November 2023Other 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.
Lifemark Securities CORP.
Lifemark Securities CORP.Broker
Previous Registrations
Leigh Baldwin & CO., LLCBroker
Ibn Financial Services, INC.Broker
Leigh Baldwin & CO., LLCBroker
M. Griffith Locke Investment Services INC.Broker
Robert W. Baird & CO. IncorporatedBroker
Northwestern Mutual Investment Services, LLCBroker
M. Griffith Locke Investment Services INC.Broker
State Registrations19 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.