Articles Tagged with Jack Griffith

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Jack Griffith

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that South Carolina-based Janney Montgomery Scott broker/adviser Jack Griffith has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Griffith (CRD# 1446978).

Jack Griffith has spent 31 years in the securities industry and has been registered with Janney Montgomery Scott in Columbia, South Carolina since 2014. Previous registrations include Ameriprise Financial Services in Columbia, South Carolina (2007-2014); AG Edwards & Sons in Sumter, South Carolina (2004-2007); Legg Mason Wood Walker in Baltimore, Maryland (1998-2004); Prudential Securities in New York, New York (1995-1998); and Merrill Lynch in New York, New York (1986-1995). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 4, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 1, 1986; Series 3 (National Commodity Futures Examination), which he obtained on October 17, 1997; Series 7 (General Securities Representative Examination), which he obtained on January 18, 1986; Series 24 (General Securities Principal Examination), which he obtained on November 18, 2009; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on April 17, 1996. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, the District of Columbia, Florida, Georgia, Mississippi, Nevada, New York, North Carolina, Ohio, Oregon, Rhode Island, South Carolina, Texas, and Washington.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.