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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-12-06
CA RA APPROVED 2022-01-24
  • TX RA
    APPROVED_RES
    Since 2023-12-06
  • CA RA
    APPROVED
    Since 2022-01-24

Branch Locations

732 S Rosecrest Cir, Anaheim, CA 92808 • United States

155 N. Riverview Dr. Suite 217, Anaheim Hills, CA 92808 • United States

Griffin Financial

155 N Riverview Drive, Anaheim Hills, CA 92808 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-01-17
  • CA RA
    APPROVED
    Since 2020-01-17

Branch Locations

155 N Riverview Drive, Anaheim Hills, CA 92808 • 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
Centaurus Financial, Inc. Anaheim CA 10/2009 03/2018
Woodbury Financial Services Inc Anaheim CA 03/2018 01/2022
Griffin Financial, Llc Anaheim Hills CA 03/2000 Present
Lpl Financial Llc Anaheim Hills CA 01/2022 Present
  • 10/2009 → 03/2018
    Anaheim, CA
  • 03/2018 → 01/2022
    Woodbury Financial Services Inc
    Anaheim, CA
  • 03/2000 → Present
    Griffin Financial, Llc
    Anaheim Hills, CA
  • 01/2022 → Present
    Anaheim Hills, CA
Previous Registrations
  • 2018-03-05 → 2022-01-28
    Woodbury Financial Services, Inc.
    Anaheim, CA
    San Diego, CA
    Anaheim, CA
  • 2009-10-06 → 2018-03-07
    Anaheim Hills, CA
    Anaheim, CA
  • 2008-04-11 → 2009-10-30
    Sii Investments, Inc.
    Appleton, WI
    Orange, CA
  • 2002-01-14 → 2008-04-30
    Crown Capital Securities, L.P.
    Orange, CA
Other Businesses

1)01/13/2022 - Griffin Financial, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2000 2)01/13/2022 - GRIFFIN FINANCIAL & INSURANCE SOLUTIONS - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 02/2019 - 8 Hr/Mth 3)01/13/2022 - A & A REALTY - Mortgage/Real Estate Services - Inv Rel - Anaheim, CA - Start: 06/2005 - 4 Hr/Mth 4) 02/28/2022 - Griffin Financial, LLC - DBA: (FP) GRIFFIN DIVORCE CONSULTING, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 04/01/2021 - 48 Hours Per Month/12 Hours During Securities Trading - Time Spent 31%. 5) 02/28/2022 - Griffin Financial, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date: 11/17/2019 - 48 Hours Per Month/12 Hours During Securities Trading - Time Spent 31% - I provide financial planning and consulting services through Griffin Financial, LLC, an independent investment advisor firm. I started this business activity in 11/2019. I expect to spend approximately 48 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-06
S63 Uniform Securities Agent State Law Examination 1992-08-26
  • S66 Uniform Combined State Law Examination
    2002-01-06
  • S63 Uniform Securities Agent State Law Examination
    1992-08-26
Other Names
  • Bertha Alicia Schaffer
  • Bertha Alice Schaffer Clark
  • Betty Schaffer
  • Betty Clark
  • Bertha Alicia Clark

View on SEC IAPD

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