John Griffin
John Griffin is a CFP-designated registered investment advisor at Wilmington Capital Securities, LLC, based in New York, NY, with 24 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 192 clients with $260M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Wilmington Capital Securities charges an annual management fee based on the value of your portfolio. This fee ranges from 0.5% to 2.0% and is negotiable. The fee is paid in advance, either monthly or quarterly, and is automatically deducted from your account by the custodian. If you terminate the service, you'll receive a pro-rated refund of any unearned fees.
Location
1140 Avenue of the Americas, Suite 1047, New York, NY, 10036
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
John manages the OSJ of Wilmington Capital Securities LLC through Ambrose Light LLC, dedicating full-time hours to this role. He also owns Esopus River LLC, which owns a NYC Taxi Medallion, but spends no time on this activity.
Employment History
Current Registrations
Wilmington Capital Securities, LLC
Wilmington Capital Securities, LLCBroker
Previous Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Morgan Stanley
Morgan StanleyBroker
Raymond James & Associates, INC.Broker
Carolina Capital Markets, INC.Broker
Carolina Capital Markets, INC.Broker
UBS Securities LLCBroker
UBS Capital Markets L.P.Broker
Charles Schwab & CO., INC.Broker
Worldco, L.L.C.Broker
State Registrations39 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.