Ws Griffith Securities, Inc. (Hartford)

Name: Ws Griffith Securities, Inc.
Address: 1 Constitution Plaza, Hartford, CT, 06115
Telephone: 860-403-3617

Ws Griffith Securities, Inc. is a large advisory firm based in Hartford. It manages $573.69 million of regulatory assets for 3,689 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arkansas, and 44 other states.

Ws Griffith Securities provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It prepares financial plans for approximately 1,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Ws Griffith Securities: assets under management

The assets under management (AUM) of Ws Griffith Securities, Inc. is $573.69 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ws Griffith Securities, Inc. for their services and products based on a percentage of assets under management and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Ws Griffith Securities, Inc.

Robert Edward Primmer has been acting as President since 1 Feb 1998. Victoria Lynn Olson joined the executive team most recently as the Vp, Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Laura Eileen Miller	Vice president treasurer	1 Nov 1992	Other	1558203
David William Searfoss	Director	1 Aug 1994	Other	1834286
Dona Young	Director	1 Aug 1994	Other	2539505
Philip Robert Mcloughlin	Director	1 Jan 1995	Other	329529
Robert Edward Primmer	Director	1 Feb 1998	Other	2610505
John H Beers	Secretary	1 Jun 1999	Other	xxx-xx-xxxx
Moira Elizabeth Lowe	Vice president, compliance officer	1 Jun 2000	Other	4076427
Richard Stewart Dahl	Vice president, operations	1 Dec 2000	Other	1080878
Matthew David Verdi	Vice president	1 Jun 2001	Other	1304990
Barry Douglas Boyte	Vice president & chief marketing officer	1 Jun 2001	Other	2228218
Inc. Ws Griffith Advisors	Parent company	1 Jun 2001	75% - 100%	06-1605027
Joseph E Kelleher	Acting president, director	1 Oct 2001	Other	4017209
Laura Eileen Miller	Chief operating officer	1 Dec 2001	Other	1558203
John Henry Beers	Secretary, vice president	1 Apr 2002	Other	xxx-xx-xxxx
Laura Eileen Miller	Chief financial officer, senior vice president	1 Apr 2002	Other	1558203
Richard Stewart Dahl	Vice president	1 Apr 2002	Other	1080878
Joseph E Kelleher	President, director	1 Apr 2002	Other	4017209
Stuart L Bergman	Vice president	1 Apr 2002	Other	2470321
Yehcheng Tan	Director	1 Apr 2002	Other	2097210
Joseph Edward Kelleher	President, director	1 Apr 2002	Other	4017209
John Arthur Vaccaro	Senior vice president	1 Dec 2002	Other	2264004
Joseph Gary Beagin	Senior vice president	1 Jan 2003	Other	15544
Moira Elizabeth Lowe	Senior vice president, compliance officer	1 Mar 2003	Other	4076427
Richard Stewart Dahl	Vice president, operations	1 Mar 2003	Other	1080878
Elaine K Gruet	Assistant vice president	1 Mar 2003	Other	2287827
Constance Miller Cook	Vice president, trading	1 Mar 2003	Other	1448191
Robert George Jr Lautensack	Director	1 Mar 2003	Other	xxx-xx-xxxx
Coleman D. Ross	Director	1 Mar 2003	Other	xxx-xx-xxxx
Elaine Karen Gruet	Assistant vice president	1 Mar 2003	Other	2287827
Coleman Devane Ross	Director	1 Mar 2003	Other	xxx-xx-xxxx
Katherine Siino	Vice president, compliance officer	1 May 2003	Other	1666402
Stuart L Bergman	Vice president	1 Aug 2003	Other	2470321
Stuart Lawrence Bergman	Vice president	1 Aug 2003	Other	2470321
Richard Jay Wirth	Chief compliance officer	1 Dec 2003	Other	2539506
Michael Edward Haylon	Director	1 Jan 2004	Other	1884528
Nancy Jean Engberg	Vp & chief compliance officer	1 Apr 2004	Other	2952960
Victoria Lynn Olson	Vp, compliance officer	1 May 2004	Other	2360895

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Phoenix Distribution Holding Company	Holding company	1 Jun 2001	75% - 100%	06-1605028
Inc. The Phoenix Companies	Parent company	1 Jun 2001	75% - 100%	06-1599088

Based in Hartford

The principal office where Ws Griffith Securities, Inc. performs its advisory services is located at 1 Constitution Plaza, Hartford, CT 06115 The mailing address of the firm is One American Row, Hartford, CT 06115. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 860-403-3617 or by fax 860-403-3722. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.wsgriffith.com.