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Stephen Richard Griffiths

Ieq Capital, LLC

Foster City, CA

Boston, MA

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Current Employers
Ieq Capital, Llc

950 Tower Lane Suite 1800, Foster City, CA 94404 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-07-18
CA RA APPROVED 2023-05-12
  • MA RA
    APPROVED
    Since 2023-07-18
  • CA RA
    APPROVED
    Since 2023-05-12

Branch Locations

950 Tower Lane Suite 1800, Foster City, CA 94404 • United States

501 Boylston St Suite 10B-141, Boston, MA 02116 • 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
OrganizationCityStateFromTo
Goldman Sachs & Co. Llc Boston MA 09/2019 10/2022
Unemployed Nashville TN 06/2019 08/2019
Goldman Sachs New York NY 04/2019 05/2019
United States Army Indianapolis IN 05/2010 03/2019
First Republic Securities Company, Llc Boston MA 01/2023 04/2023
First Republic Investment Management, Inc Boston MA 01/2023 04/2023
Unemployed Canton MA 11/2022 12/2022
Ieq Capital, Llc Foster City CA 05/2023 Present
  • 09/2019 → 10/2022
    Goldman Sachs & Co. Llc
    Boston, MA
  • 06/2019 → 08/2019
    Unemployed
    Nashville, TN
  • 04/2019 → 05/2019
    Goldman Sachs
    New York, NY
  • 05/2010 → 03/2019
    United States Army
    Indianapolis, IN
  • 01/2023 → 04/2023
    First Republic Securities Company, Llc
    Boston, MA
  • 01/2023 → 04/2023
    First Republic Investment Management, Inc
    Boston, MA
  • 11/2022 → 12/2022
    Unemployed
    Canton, MA
  • 05/2023 → Present
    Ieq Capital, Llc
    Foster City, CA
Previous Registrations
  • 2023-02-27 → 2023-05-19
    J.P. Morgan Private Wealth Advisors Llc
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-16
S63 Uniform Securities Agent State Law Examination 2019-10-31
  • S66 Uniform Combined State Law Examination
    2023-02-16
  • S63 Uniform Securities Agent State Law Examination
    2019-10-31
Other Names
  • Stephen Griffiths
  • Stephen Richard Griffiths

View on SEC IAPD

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Other Offices

CITIGROUP GLOBAL MARKETS INC. · Foster City, CA
U.S. BANCORP ADVISORS, LLC · Foster City, CA
J.P. MORGAN SECURITIES LLC · SAN MATEO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FOSTER CITY, CA
SUMMITRY, LLC · FOSTER CITY, CA
J.P. MORGAN SECURITIES LLC · FOSTER CITY, CA
WELLS FARGO CLEARING SERVICES, LLC · FOSTER CITY, CA
CELESTA · SAN MATEO, CA

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