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James William Griggs

Equitable Advisors, LLC

Twin Lakes, WI

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Current Employers
Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-10-15
WI RA APPROVED 2021-10-04
  • TX RA
    APPROVED
    Since 2021-10-15
  • WI RA
    APPROVED
    Since 2021-10-04

Branch Locations

150 Lance Drive, Twin Lakes, WI 53181 • 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
Axa Advisors, Llc New York NY 12/2013 06/2020
Equitable Advisors, Llc New York NY 12/2013 Present
Other Businesses

OUTSIDE INSURANCE SALES; DBA Griggs and Griggs - 20 hrs, $120000 comp Life Settlements - 3/30/2021

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-10-01
S63 Uniform Securities Agent State Law Examination 2015-09-14
  • S65 Uniform Investment Adviser Law Examination
    2021-10-01
  • S63 Uniform Securities Agent State Law Examination
    2015-09-14

View on SEC IAPD

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STACKSTONE WEALTH, LLC
GENEVA PARTNERS, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
LPL FINANCIAL LLC

Other Investors

Conrad Bloom
JOHN ROBERT GRIGGS
WILLIAM ANDREW GRIGGS
Richard Edward Topf
Marlo Jover Carpio
DANIEL EDWARD SIGMAN
Steven Paul VanDusen
AMY LISA BARRETT

Other Offices

EDWARD JONES · TWIN LAKES, WI
U.S. BANCORP ADVISORS, LLC · Twin Lakes, WI
EDWARD JONES · SPRING GROVE, IL
BARRETT WEALTH CONNECTION LLC · SPRING GROVE, IL
BEACON POINTE ADVISORS, LLC · Lake Geneva, WI
STACKSTONE WEALTH, LLC · LAKE GENEVA, WI
GENEVA PARTNERS, LLC · LAKE GENEVA, WI
EDWARD JONES · LAKE GENEVA, WI

More in Twin Lakes, WI

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