Maurice Griffin, financial advisor Lake Forest IL

Maurice Griffin

CRD Number: 1441431
Current Firm: Stifel, Nicolaus & Company, Incorporated

Maurice Griffin (CRD# 1441431) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Lake Forest, IL and has over 38 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel Nicolaus & Co Inc. Lake Forest, IL Sep 2014 - Current 9
Wells Fargo Advisors LLC Lake Forest, IL May 2009 - Sep 2014 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1986
S66 NASAA Uniform Combined State Law Examination Mar 2006
Contact Info for Maurice J. Griffin
Phone Number: 314-342-2000
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    132,551
    MILLIONS
  • Total Number of Accounts
    334,814
    ACCOUNTS
  • Average Account Value
    $395,894
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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