James F Griffith

CRD 2208924 · Fidelity Brokerage Services LLC · Walnut Creek, CA

IA RegisteredBroker

Also appears in the source record as: James Francis Griffith

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 55Series 7
Registered states (20): Arizona · Arkansas · California · Colorado · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Maryland · Massachusetts · Montana · Nevada · New York · Oregon · South Carolina · Tennessee · Texas · Utah · Washington
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2208924 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (19)

From the source registration record · current first

Strategic Advisers LLCCurrent
Moraga, CA · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Moraga, CA · BD capacity

Jun 15, 2015 → present
Fidelity Brokerage Services LLCCurrent
Walnut Creek, CA · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Jul 13, 2018 → Mar 31, 2025
Strategic Advisers LLC
IA capacity

Aug 21, 2015 → Jul 13, 2018
Btig, LLC
BD capacity

Nov 26, 2012 → May 29, 2015
Knight Capital Americas LLC
BD capacity

Jan 3, 2011 → Oct 17, 2012
Knight Direct LLC
BD capacity

Aug 9, 2010 → Jan 3, 2011
Pipeline Trading Systems LLC
BD capacity

Apr 3, 2008 → Jul 2, 2010
Nyfix Millennium, L.L.C.
BD capacity

May 30, 2003 → Apr 4, 2008
Planco Financial Services, Inc.
BD capacity

Apr 5, 1999 → Jun 1, 2001
Wm Financial Services, Inc.
BD capacity

Jul 14, 1997 → Mar 25, 1999
Great Western Financial Securities Corporation
BD capacity

Apr 16, 1998 → May 1, 1998
Asb Financial Services
BD capacity

May 16, 1996 → Jul 14, 1997
First Interstate Investments,inc.
BD capacity

Jul 25, 1995 → May 16, 1996
Essex National Securities, Inc.
BD capacity

Jul 31, 1995 → Nov 17, 1995
Wells Fargo Securities Inc.
BD capacity

Oct 25, 1993 → Feb 3, 1995
Marketing One Securities, Inc.
BD capacity

Sep 10, 1992 → Oct 25, 1993
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Feb 6, 1992 → Jun 9, 1992

Source & corrections

Where this page comes from

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