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Daniel John Griggs

Griggs Capital LLC

Lexington, KY

CRD 6225812

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Employer firm

Griggs Capital LLC CRD 168137

$2.70M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)

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

Current Employers
Griggs Capital Llc

Lexington, KY • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2013-07-18
  • KY RA
    APPROVED
    Since 2013-07-18

Branch Locations

Lexington, KY • 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
Griggs Homes Inc. Lexington KY 09/1983 08/2017
Buchanan Griggs Inc. Paris KY 12/2015 06/2017
Griggs Capital Llc Lexington KY 05/2013 Present
  • 09/1983 → 08/2017
    Griggs Homes Inc.
    Lexington, KY
  • 12/2015 → 06/2017
    Buchanan Griggs Inc.
    Paris, KY
  • 05/2013 → Present
    Griggs Capital Llc
    Lexington, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-04-14
  • S65 Uniform Investment Adviser Law Examination
    2013-04-14
Other Names
  • Daniel J Griggs

View on SEC IAPD

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