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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

JACK WENDELL GRIFFITH

Advisor at LPL FINANCIAL LLC

COLUMBIA, SC

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Search this name across graphsid dfx:ria:f20bbf76-65ae-7c11-357e-aa6a9d922fd7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 28, 1998 to Sep 14, 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: Feb 1, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Feb 1, 1986
First registration: Sep 28, 1998
Dual registered: yes, broker-dealer
Other names: JACK W GRIFFITH
IAPD individual key: 1446978

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	May 19, 2023	n/a	yes	COLUMBIA, SC	Current employment
Spc	Bd affiliated wealth	Jul 30, 2021	May 18, 2023	no	Columbia, SC\|ANN ARBOR, MI	Previous registration
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Jan 27, 2014	Aug 4, 2021	no	COLUMBIA, SC	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Jan 28, 2014	no	COLUMBIA, SC	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	May 22, 2007	Oct 5, 2009	no	COLUMBIA, SC	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	May 21, 2004	May 22, 2007	no	SUMTER, SC	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Sep 28, 1998	May 28, 2004	no	COLUMBIA, NC	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
Spc	LPL FINANCIAL LLC	May 18, 2023	May 19, 2023	1	Bulk transfer	Ibd to ibd
JANNEY MONTGOMERY SCOTT LLC	Spc	Aug 4, 2021	Jul 30, 2021	-5	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	JANNEY MONTGOMERY SCOTT LLC	Jan 28, 2014	Jan 27, 2014	-1	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
A. G. EDWARDS & SONS, INC.	AMERIPRISE ADVISOR SERVICES, INC.	May 22, 2007	May 22, 2007	0	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	A. G. EDWARDS & SONS, INC.	May 28, 2004	May 21, 2004	-7	Firm change	Other

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 19, 2023 to presentfactForm ADV
→ SPCRegistered adviserregistration: previous registration
Jul 30, 2021 to May 18, 2023factForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Jan 27, 2014 to Aug 4, 2021factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Jan 28, 2014factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
May 22, 2007 to Oct 5, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
May 21, 2004 to May 22, 2007factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Sep 28, 1998 to May 28, 2004factForm ADV

Dated events

No dated event names this entity yet.