Unclaimed Profile

David Thomas Griffith

M. GRIFFITH INVESTMENT SERVICES, INC.·NEW HARTFORD, New York

SIE, Series 00, Series 1, Series 4, Series 7TO, Series 24, Series 27, Series 52TO, Series 63, Series 66, Series 99TO15 years registeredM. GRIFFITH INVESTMENT SERVICES, INC.

555 FRENCH RD, NEW HARTFORD, NY 13413-0895CRD# 230042Firm CRD# 2078

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Thomas Griffith · NEW HARTFORD, NY

Registration

CRD #230042 · M. GRIFFITH INVESTMENT SERVICES, INC. · 15 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: M. GRIFFITH INVESTMENT SERVICES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

Dec 2018 – Sep 2021

New Hartford, NY

M. GRIFFITH INVESTMENT SERVICES, INC.

May 2011 – Dec 2018

NEW HARTFORD, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 00

Series 1

Series 4

Series 7TO

Series 24

Series 27

Series 52TO

Series 63

Series 66

Series 99TO

Registration record

First registered · May 25, 2011

Years registered · 15

Disclosure History

2013Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

M. GRIFFITH INVESTMENT SERVICES, INC.

CRD 2078 · SEC 801-64649

AUM

$1.5B

Regulatory assets under management

Employees

2,931 client accounts

Services offered by M. GRIFFITH INVESTMENT SERVICES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at M. GRIFFITH INVESTMENT SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does David Thomas Griffith offer?

David Thomas Griffith specializes in Financial Planning, Investment Management, Wealth Management.

What are David Thomas Griffith's credentials?

David Thomas Griffith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Thomas Griffith located?

David Thomas Griffith is based in NEW HARTFORD, New York, last registered with M. GRIFFITH INVESTMENT SERVICES, INC..

How does David Thomas Griffith charge for services?

David Thomas Griffith's firm is compensated through percentage of aum, hourly charges, subscription fees, other: revenue sharing margin interest, cash balances and handling fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is M. GRIFFITH INVESTMENT SERVICES, INC.?

M. GRIFFITH INVESTMENT SERVICES, INC. has approximately 21 employees and manages $1.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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