Scott Stephen Griffin

Current Employers

Griffin Financial Services

Rotterdam Junction, NY • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-04-01

NY RA
APPROVED

Since 2022-04-01

Branch Locations

Rotterdam Junction, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
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
Griffin Financial Services	Rotterdam Junction	NY	11/1996	Present
Apw Capital, Inc.	Rockaway	NJ	03/2005	Present

11/1996 → Present

Griffin Financial Services

Rotterdam Junction, NY
03/2005 → Present

Apw Capital, Inc.

Rockaway, NJ

Previous Registrations

2015-03-04 → 2017-12-08

Griffin Financial Services

Rotterdam Junction, NY

Other Businesses

1-GRIFFIN FINANCIAL SERVICES - RIA, SOLE PROP AND OWNER SINCE 10/94, 40% OF TIME SPENT $20K PER YEAR IN ANNUAL FEES. LIFE, ACCIDENT AND HEALTH INSURANCE; 2-Griffin Consulting Services, Investment related:No, 14 Riverview Dr., Rotterdam Junction, NY, 12150, Used for Payroll only, President, 02/03/2022, 0, None, S-Corp used for payroll W-2 pay only.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-10-22
S63	Uniform Securities Agent State Law Examination	1992-05-07

S65 Uniform Investment Adviser Law Examination

2021-10-22
S63 Uniform Securities Agent State Law Examination

1992-05-07

View on SEC IAPD