Doug John Griffith

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-10-30
CO	RA	APPROVED	2010-04-29

TX RA
APPROVED_RES

Since 2018-10-30
CO RA
APPROVED

Since 2010-04-29

Branch Locations

Westminister, CO • 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	Westminster	CO	04/2010	Present

04/2010 → Present

Lpl Financial Llc

Westminster, CO

Previous Registrations

2008-01-01 → 2010-04-30

Wells Fargo Clearing Services, Llc

Longmont, CO
2005-02-28 → 2008-01-01

A. G. Edwards & Sons, Inc.

Longmont, CO

Longmont, CO

St. Louis, MO

Other Businesses

1. 4/12/2019 - No Business Name - Not Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Trustee - Started 04/01/2019 - 2 Hours Per Month During Securities Trading - Nephews, Aaron & Jack Griffith. 2. 12/19/2025-G7 WEALTH MANAGEMENT LLC-FINANCIAL ADVISOR-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s)-Start date 01/01/2026-160hrs/mth-160hrs/mth during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-02-25

S66 Uniform Combined State Law Examination

2005-02-25

View on SEC IAPD