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Charles Alan Griffith

LPl Financial LLC

Bozeman, MT

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-07-21
ID RA APPROVED 2021-07-21
MN RA APPROVED 2021-07-21
MO RA APPROVED 2021-07-21
MT RA APPROVED 2021-07-21
ND RA APPROVED 2021-07-21
WA RA APPROVED 2021-07-21
  • CA RA
    APPROVED
    Since 2021-07-21
  • ID RA
    APPROVED
    Since 2021-07-21
  • MN RA
    APPROVED
    Since 2021-07-21
  • MO RA
    APPROVED
    Since 2021-07-21
  • MT RA
    APPROVED
    Since 2021-07-21
  • ND RA
    APPROVED
    Since 2021-07-21
  • WA RA
    APPROVED
    Since 2021-07-21

Branch Locations

2246 Boot Hill Ct Ste 6A, Bozeman, MT 59715-7248 • 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
Waddell & Reed, Inc. Bozeman MT 05/1978 07/2021
Various Insurance Carriers For W & R Insurance Agencies Bozeman MT 10/2000 07/2021
First Lutheran Church Bozeman MT 05/2014 12/2018
Lpl Financial Llc Bozeman MT 07/2021 Present
  • 05/1978 → 07/2021
    Waddell & Reed, Inc.
    Bozeman, MT
  • 10/2000 → 07/2021
    Various Insurance Carriers For W & R Insurance Agencies
    Bozeman, MT
  • 05/2014 → 12/2018
    First Lutheran Church
    Bozeman, MT
  • 07/2021 → Present
    Lpl Financial Llc
    Bozeman, MT
Previous Registrations
  • 1997-06-02 → 2021-07-21
    Waddell & Reed
    Bozeman, MT
    Billings, MT
    Bozeman, MT
    Seattle, WA
    Bozeman, MT
Other Businesses

1- 01/1987 / AOCP / Non-Variable Insurance / 2 HR MNTH / Investment Related / Bozeman, MT 59715

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-05-14
S65 Uniform Investment Adviser Law Examination 1997-01-04
  • S63 Uniform Securities Agent State Law Examination
    1998-05-14
  • S65 Uniform Investment Adviser Law Examination
    1997-01-04
Designations
Other Names
  • Chuck Griffith

View on SEC IAPD

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