Scott Griffin Email & Phone Number
Deputy Chief Compliance Officer @ Aurora Private Wealth, Inc.
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Scott Griffin Location
- Delmar, NY, US
Scott Griffin Work
- 2022 -now Deputy Chief Compliance Officer @
- 1996 -now Founder, Owner @ Griffin Financial Services
- 2011 -2022 Senior Compliance Officer @
- 2006 -2011 Northeast Regional Compliance Supervisor @
- 1998 -2005 Registered Principal, “OSJ” Manager @ Investors Capital Corporation
Scott Griffin Education
- The College of Saint Rose
Bachelor of Science - BS (Business Administration, Finance)
- SUNY Schenectady County Community College
Associate of Arts and Sciences - AAS (Business Administration)
Scott Griffin Skills
- Alternative Investments
- Estate Planning
- Financial Advisory
- Fixed Annuities
- Securities Regulation
- Insurance
- Financial Planning
- Wealth Management Services
- Investment Company Act
- Portfolio Management
- Capital Markets
- Investments
- Asset Allocation
- Investment Advisory
- Asset Managment
- Wealth Management
- Licensing
- Compliance
- AML
- Equities
- Mutual Funds
- Uniform Combined State Law
- FINRA
- Strategic Financial Planning
- Microsoft Office
- Risk Management
- Internal Controls
- Wealth
- Uniform Combined State
- Series 24
- Financial Reporting
- Strategic Financial
- ETFs
- Series 7
- Securities
Scott Griffin Summary
- Scott Griffin, based in Delmar, NY, US, is currently a Deputy Chief Compliance Officer at Aurora Private Wealth, Inc.. Scott Griffin brings experience from previous roles at Griffin Financial Services, Aurora Private Wealth, Inc. and Investors Capital Corporation. Scott Griffin holds a Bachelor of Science - BS in Business Administration, Finance @ The College of Saint Rose. With a robust skill set that includes Alternative Investments, Estate Planning, Financial Advisory, Fixed Annuities, Securities Regulation and more. Scott Griffin has 1 emails and 1 mobile phone numbers on RocketReach.
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