Jack Wendell Griffith

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2014 → 07/2021
  Janney Montgomery Scott Llc
  Columbia, SC
• 07/2021 → 05/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 07/2021 → 05/2023
  Spc
  Ann Arbor, MI
• 05/2023 → Present
  Lpl Financial
  Colombia, SC

Previous Registrations

• 2021-07-30 → 2023-05-18
  Spc
  Columbia, SC
  Ann Arbor, MI
• 2014-01-27 → 2021-08-04
  Janney Montgomery Scott Llc
  Columbia, SC
• 2009-10-05 → 2014-01-28
  Ameriprise Financial Services, Llc
  Columbia, SC
• 2007-05-22 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Columbia, SC
• 2004-05-21 → 2007-05-22
  A. G. Edwards & Sons, Inc.
  Sumter, SC
• 1998-09-28 → 2004-05-28
  Legg Mason Wood Walker, Incorporated
  Columbia, NC

Other Businesses

1. 06/28/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/09/2023 - 120 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100%

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-02-04
• S63 Uniform Securities Agent State Law Examination
  1986-02-01

Other Names

• Jack W Griffith