Philip Joseph Griggs

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2020-09-16
TX	RA	APPROVED	2020-05-27

MI RA
APPROVED

Since 2020-09-16
TX RA
APPROVED

Since 2020-05-27

Branch Locations

Farmers Branch, TX • United States

Disclosures

1 disclosure category 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 No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Linsco/Private Ledger Corp	Addison	TX	09/2004	Present

09/2004 → Present

Linsco/Private Ledger Corp

Addison, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-05-22
S63	Uniform Securities Agent State Law Examination	2001-09-21

S65 Uniform Investment Adviser Law Examination

2020-05-22
S63 Uniform Securities Agent State Law Examination

2001-09-21

View on SEC IAPD