James Craig Griffis

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2022-04-26

OH RA
APPROVED

Since 2022-04-26

Branch Locations

Sylvania, OH • United States

5749 Park Center Ct., Toledo, OH 43615 • United States

Disclosures

2 disclosure categories 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 No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Westlake	OH	05/2011	07/2018
Lincoln Financial Advisors	Toledo	OH	08/2018	04/2022
Lpl Financial Llc	Toledo	OH	04/2022	Present

05/2011 → 07/2018

Ameriprise Financial Services, Inc.

Westlake, OH
08/2018 → 04/2022

Lincoln Financial Advisors

Toledo, OH
04/2022 → Present

Lpl Financial Llc

Toledo, OH

Previous Registrations

2018-08-21 → 2022-04-27

Osaic Fa, Inc.

Toledo, OH

Sylvania, OH

Southfield, MI
2011-06-16 → 2018-08-10

Ameriprise Financial Services, Llc

Toledo, OH

Pepper Pike, OH

Toledo, OH
2005-04-08 → 2011-05-26

Wells Fargo Clearing Services, Llc

Perrysburg, OH

Toledo, OH

Toledo, OH

Perrysburg, OH

Other Businesses

1)04/18/2022 - Griffis and Associates Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 10/2018

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-07-12

S63 Uniform Securities Agent State Law Examination

1984-07-12

Other Names

J Craig Griffis

View on SEC IAPD