L. Cliff Griffin

CRD 1935227 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Cliff Griffin Jr; L Cliff Griffin Jr; L. Cliff Griffin Jr; Leonard C. Griffin; Leonard Clifton Griffin Jr; Leonard C. C. Griffin

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 10Series 9SIESeries 3Series 7
Registered states (25): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Maryland · Massachusetts · Missouri · Montana · Nevada · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Tennessee · Texas · Washington · Wisconsin
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

Jun 13, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
IA capacity

Apr 22, 2015 → Jun 28, 2017
Ubs Financial Services Inc.
BD capacity

Oct 17, 2008 → Jun 28, 2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jan 26, 1999 → Oct 21, 2008
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Nov 19, 2001 → Dec 31, 2005
Dean Witter Reynolds Inc.
BD capacity

May 23, 1989 → Jan 28, 1999

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1935227 ↗ FINRA BrokerCheck record for CRD 1935227 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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