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William Ernest Griffith

Principal Securities, Inc.

Fresno, CA

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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-11-19
CA RA APPROVED 2023-08-24
  • TX RA
    APPROVED
    Since 2024-11-19
  • CA RA
    APPROVED
    Since 2023-08-24

Branch Locations

1010 W Alluvial Ave Ste 111, Fresno, CA 93711 • 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
Self Employed Garden Grove CA 12/2018 07/2022
School Fresno CA 08/2000 12/2018
Principal Life Insurance Company Fresno CA 07/2022 Present
Principal Securities Inc Fresno CA 07/2022 Present
Central Valley Strategic Wealth Management Fresno CA 09/2023 Present
  • 12/2018 → 07/2022
    Self Employed
    Garden Grove, CA
  • 08/2000 → 12/2018
    School
    Fresno, CA
  • 07/2022 → Present
    Principal Life Insurance Company
    Fresno, CA
  • 07/2022 → Present
    Fresno, CA
  • 09/2023 → Present
    Central Valley Strategic Wealth Management
    Fresno, CA
Other Businesses

**CENTRAL VALLEY STRATEGIC WEALTH MANAGEMENT AND INSURANCE SERVICES POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 09/25/2023 ADDRESS: 1010 West Alluvial Ave., Fresno CA 93711, United States DESCRIPTION: Marketing insurance and investment products to prospects and clients throughout California **INSURANCE AND ANNUITIES POSITION: outside companies NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/28/2023 ADDRESS: 1010 West Alluvial Ave, Fresno CA 93711, United States DESCRIPTION: Selling and servicing insurance and annuities primarily through preferred product network. Fixed Insurance: Life, DI, Medical, LTC, Annuities. Group Insurance: Life, DI Dental, Vision, Health **CENTRAL VALLEY STRATEGIC WEALTH MANAGEMENT, INC POSITION: Shareholder NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/05/2024 ADDRESS: 1010 W. Alluvial Ave., suite 111, Fresno CA 93711, United States DESCRIPTION: This is the corporation for our DBA. I am a shareholder. The primary purpose is to employ our staff, handle our group expenses, and coordinate our marketing efforts. It won't have any income. I won't receive any income from it, it is merely an entity to handle the business expenses and be the employer for our shared staff employees.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-23
  • S66 Uniform Combined State Law Examination
    2023-08-23
Other Names
  • Billy Griffith

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