Christopher Chad Griffith

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2007-10-05

NC RA
APPROVED

Since 2007-10-05

Branch Locations

Raleigh, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Cary	NC	10/2007	Present

10/2007 → Present

Lpl Financial Llc

Cary, NC

Previous Registrations

2003-11-03 → 2007-10-12

Ameriprise Financial Services, Llc

Raleigh, NC

Raleigh, NC

Other Businesses

1. 12/11/2007: NO BUSINESS NAME - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 15% - LIFE, HEALTH, DISABILITY, LONG-TERM CARE, FIXED ANNUITITES, PROPERTY & CASUALTY. 2. 7/7/2015: NO BUSINESS NAME - Investment Related - 107 FENNER LANE, RALEIGH, NC 27607 - REAL ESTATE RENTAL - Started 08/01/2014 - 1 Hour Per Month/0 Hours During Securities Trading - PROPERTY CO-OWNER.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-10-31

S66 Uniform Combined State Law Examination

2003-10-31

Other Names

Chad Griffith
C. Chad Griffith

View on SEC IAPD