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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

JAMES CRAIG GRIFFIS

Advisor at LPL FINANCIAL LLC

SYLVANIA, OH | TOLEDO, OH

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Search this name across graphsid dfx:ria:128bf437-9707-b8b7-2f7b-569cc1f170c6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 8, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 12, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jul 12, 1984
First registration: Apr 8, 2005
Dual registered: yes, broker-dealer
Other names: J CRAIG GRIFFIS
IAPD individual key: 850356

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 26, 2022	n/a	yes	SYLVANIA, OH\|TOLEDO, OH	Current employment
OSAIC FA, INC.	Former SEC adviser	Aug 21, 2018	Apr 27, 2022	no	TOLEDO, OH\|SYLVANIA, OH\|SOUTHFIELD, MI	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 16, 2011	Aug 10, 2018	no	TOLEDO, OH\|Pepper Pike, OH\|TOLEDO, OH	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 8, 2005	May 26, 2011	no	PERRYSBURG, OH\|TOLEDO, OH\|TOLEDO, OH\|PERRYSBURG, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC FA, INC.	LPL FINANCIAL LLC	Apr 27, 2022	Apr 26, 2022	-1	Firm change	Ibd to RIA
AMERIPRISE FINANCIAL SERVICES, LLC	OSAIC FA, INC.	Aug 10, 2018	Aug 21, 2018	11	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	May 26, 2011	Jun 16, 2011	21	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 26, 2022 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Aug 21, 2018 to Apr 27, 2022factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 16, 2011 to Aug 10, 2018factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 8, 2005 to May 26, 2011factForm ADV

Dated events

Occurred
Apr 27, 2022
Advisor changed firm
James Craig Griffis left Osaic Fa, Inc. for Lpl Financial Llc (registered 2022-04-26)
Form ADVobserved 6 days ago