Alan Griffin
Alan Griffin is a registered investment advisor at Raymond James & Associates, INC., based in Santa Barbara, CA, with 47 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Location
1216 State Street, Suite 500, Santa Barbara, CA, 93101
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2016Customer Dispute
February 1999Customer Dispute
January 1992Other Business Activities
Alan is an investor in Healthprize Technologies LLC, an internet drug compliance company, but devotes no time to it. He is also a director for The Scholarship Foundation of Santa Barbara, a non-profit organization, dedicating a few hours per week to this role.
Employment History
Current Registrations
Raymond James & Associates, INC.
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Previous Registrations
D.A. Davidson & CO.
D.A. Davidson & CO.Broker
Crowell Weedon & CO.
Crowell Weedon & CO.Broker
Crowell, Weedon & CO.Broker
Crowell, Weedon & CO.
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations7 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.