WS GRIFFITH SECURITIES, INC.
CRD #10410 SEC #801-23237 EAST HARTFORD, CT 860-403-3617
SEC Registered Broker-Dealer
Total AUM
$580M
Discretionary
$0
Employees
501
Clients
--
Accounts
3,300
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 25, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BEAGIN, JOSEPH GARY | I | SENIOR VICE PRESIDENT | NA | Control |
| BEAGIN, JOSEPH GARY | I | SENIOR VICE PRESIDENT | NA | Control |
| BEAGIN, JOSEPH GARY | I | SENIOR VICE PRESIDENT | NA | Control |
| BEAGIN, JOSEPH GARY | I | SENIOR VICE PRESIDENT | NA | Control |
| BEAGIN, JOSEPH GARY | I | SENIOR VICE PRESIDENT | NA | Control |
| BEERS, JOHN H | I | SECRETARY | NA | Control |
| BEERS, JOHN H | I | SECRETARY | NA | Control |
| BEERS, JOHN H | I | SECRETARY | NA | Control |
| BEERS, JOHN HENRY | I | SECRETARY, VICE PRESIDENT | NA | Control |
| BEERS, JOHN HENRY | I | SECRETARY, VICE PRESIDENT | NA | Control |
| BEERS, JOHN HENRY | I | SECRETARY, VICE PRESIDENT | NA | Control |
| BEERS, JOHN HENRY | I | SECRETARY, VICE PRESIDENT | NA | Control |
| BEERS, JOHN HENRY | I | SECRETARY, VICE PRESIDENT | NA | Control |
| BERGMAN, STUART L | I | VICE PRESIDENT | NA | Control |
| BERGMAN, STUART L | I | VICE PRESIDENT | NA | Control |
| BERGMAN, STUART LAWRENCE | I | VICE PRESIDENT | NA | Control |
| BERGMAN, STUART LAWRENCE | I | VICE PRESIDENT | NA | Control |
| BOYTE, BARRY DOUGLAS | I | VICE PRESIDENT & CHIEF MARKETING OFFICER | NA | Control |
| BOYTE, BARRY DOUGLAS | I | VICE PRESIDENT & CHIEF MARKETING OFFICER | NA | Control |
| BOYTE, BARRY DOUGLAS | I | VICE PRESIDENT & CHIEF MARKETING OFFICER | NA | Control |
| COOK, CONSTANCE MILLER | I | VICE PRESIDENT, TRADING | NA | Control |
| COOK, CONSTANCE MILLER | I | VICE PRESIDENT, TRADING | NA | Control |
| COOK, CONSTANCE MILLER | I | VICE PRESIDENT, TRADING | NA | Control |
| DAHL, RICHARD STEWART | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| DAHL, RICHARD STEWART | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| DAHL, RICHARD STEWART | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| DAHL, RICHARD STEWART | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| DAHL, RICHARD STEWART | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| DAHL, RICHARD STEWART | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| DAHL, RICHARD STEWART | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| DAHL, RICHARD STEWART | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| ENGBERG, NANCY JEAN | I | VP & CHIEF COMPLIANCE OFFICER | NA | Control |
| ENGBERG, NANCY JEAN | I | VP & CHIEF COMPLIANCE OFFICER | NA | Control |
| GRUET, ELAINE KAREN | I | ASSISTANT VICE PRESIDENT | NA | Control |
| GRUET, ELAINE KAREN | I | ASSISTANT VICE PRESIDENT | NA | Control |
| GRUET, ELAINE KAREN | I | ASSISTANT VICE PRESIDENT | NA | Control |
| HAYLON, MICHAEL EDWARD | I | DIRECTOR | NA | Control |
| HAYLON, MICHAEL EDWARD | I | DIRECTOR | NA | Control |
| HAYLON, MICHAEL EDWARD | I | DIRECTOR | NA | Control |
| KEIDAN, RICHARD DALE | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| KELLEHER, JOSEPH E | I | DIRECTOR | NA | Control |
| KELLEHER, JOSEPH E | I | ACTING PRESIDENT, DIRECTOR | NA | Control |
| KELLEHER, JOSEPH E | I | ACTING PRESIDENT, DIRECTOR | NA | Control |
| KELLEHER, JOSEPH EDWARD | I | PRESIDENT, DIRECTOR | NA | Control |
| KELLEHER, JOSEPH EDWARD | I | PRESIDENT, DIRECTOR | NA | Control |
| KELLEHER, JOSEPH EDWARD | I | PRESIDENT, DIRECTOR | NA | Control |
| KELLEHER, JOSEPH EDWARD | I | PRESIDENT, DIRECTOR | NA | Control |
| KELLEHER, JOSEPH EDWARD | I | PRESIDENT, DIRECTOR | NA | Control |
| LAUTENSACK, ROBERT GEORGE JR | I | DIRECTOR | NA | Control |
| LAUTENSACK, ROBERT GEORGE JR | I | DIRECTOR | NA | Control |
| LAUTENSACK, ROBERT GEORGE JR | I | DIRECTOR | NA | Control |
| LAUTENSACK, ROBERT GEORGE JR | I | DIRECTOR | NA | Control |
| LAUTENSACK, ROBERT GEORGE JR | I | DIRECTOR | NA | Control |
| LOWE, MOIRA ELIZABETH | I | VICE PRESIDENT, COMPLIANCE OFFICER | NA | Control |
| LOWE, MOIRA ELIZABETH | I | VICE PRESIDENT, COMPLIANCE OFFICER | NA | Control |
| LOWE, MOIRA ELIZABETH | I | VICE PRESIDENT, COMPLIANCE OFFICER | NA | Control |
| MCLOUGHLIN, PHILIP ROBERT | I | DIRECTOR | NA | Control |
| MCLOUGHLIN, PHILIP ROBERT | I | DIRECTOR | NA | Control |
| MCLOUGHLIN, PHILIP ROBERT | I | DIRECTOR | NA | Control |
| MILLER, LAURA EILEEN | I | VICE PRESIDENT TREASURER | NA | Control |
| MILLER, LAURA EILEEN | I | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT | NA | Control |
| MILLER, LAURA EILEEN | I | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT | NA | Control |
| MILLER, LAURA EILEEN | I | VICE PRESIDENT TREASURER | NA | Control |
| MILLER, LAURA EILEEN | I | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT | NA | Control |
| MILLER, LAURA EILEEN | I | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT | NA | Control |
| MILLER, LAURA EILEEN | I | CHIEF OPERATING OFFICER | NA | Control |
| MILLER, LAURA EILEEN | I | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT | NA | Control |
| OLSON, VICTORIA LYNN | I | VP, COMPLIANCE OFFICER | NA | Control |
| OLSON, VICTORIA LYNN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PRIMMER, ROBERT EDWARD | I | DIRECTOR | NA | Control |
| PRIMMER, ROBERT EDWARD | I | DIRECTOR | NA | Control |
| PRIMMER, ROBERT EDWARD | I | DIRECTOR | NA | Control |
| ROSS, COLEMAN DEVANE | I | DIRECTOR | NA | Control |
| ROSS, COLEMAN DEVANE | I | DIRECTOR | NA | Control |
| SEARFOSS, DAVID WILLIAM | I | DIRECTOR | NA | Control |
| SEARFOSS, DAVID WILLIAM | I | DIRECTOR | NA | Control |
| SEARFOSS, DAVID WILLIAM | I | DIRECTOR | NA | Control |
| SIINO, KATHERINE | I | VICE PRESIDENT, COMPLIANCE OFFICER | NA | Control |
| VACCARO, JOHN ARTHUR | I | SENIOR VICE PRESIDENT | NA | Control |
| VACCARO, JOHN ARTHUR | I | SENIOR VICE PRESIDENT | NA | Control |
| VACCARO, JOHN ARTHUR | I | SENIOR VICE PRESIDENT | NA | Control |
| VACCARO, JOHN ARTHUR | I | SENIOR VICE PRESIDENT | NA | Control |
| VERDI, MATTHEW DAVID | I | VICE PRESIDENT | NA | Control |
| VERDI, MATTHEW DAVID | I | VICE PRESIDENT | NA | Control |
| VERDI, MATTHEW DAVID | I | VICE PRESIDENT | NA | Control |
| VERDI, MATTHEW DAVID | I | VICE PRESIDENT | NA | Control |
| VERDI, MATTHEW DAVID | I | VICE PRESIDENT | NA | Control |
| VERDI, MATTHEW DAVID | I | VICE PRESIDENT | NA | Control |
| WIRTH, RICHARD JAY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WIRTH, RICHARD JAY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WIRTH, RICHARD JAY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, DONA | I | DIRECTOR | NA | Control |
| YOUNG, DONA | I | DIRECTOR | NA | Control |
| YOUNG, DONA | I | DIRECTOR | NA | Control |
| WS GRIFFITH ADVISORS, INC. | DE | PARENT COMPANY | E | Control |
| WS GRIFFITH ADVISORS, INC. | DE | PARENT COMPANY | E | Control |
| WS GRIFFITH ADVISORS, INC. | DE | PARENT COMPANY | E | Control |
| WS GRIFFITH ADVISORS, INC. | DE | PARENT COMPANY | E | Control |
| WS GRIFFITH ADVISORS, INC. | DE | PARENT COMPANY | E | Control |
| WS GRIFFITH ADVISORS, INC. | DE | PARENT COMPANY | E | Control |
| WS GRIFFITH ADVISORS, INC. | DE | PARENT COMPANY | E | Control |
| WS GRIFFITH ADVISORS, INC. | DE | PARENT COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PHOENIX DISTRIBUTION HOLDING COMPANY | DE | WS GRIFFITH ADVISORS, INC. | E | Control |
| PHOENIX DISTRIBUTION HOLDING COMPANY | DE | WS GRIFFITH ADVISORS, INC. | E | Control |
| PHOENIX DISTRIBUTION HOLDING COMPANY | DE | WS GRIFFITH ADVISORS, INC. | E | Control |
| PHOENIX DISTRIBUTION HOLDING COMPANY | DE | WS GRIFFITH ADVISORS, INC. | E | Control |
| PHOENIX DISTRIBUTION HOLDING COMPANY | DE | WS GRIFFITH ADVISORS, INC. | E | Control |
| PHOENIX DISTRIBUTION HOLDING COMPANY | DE | WS GRIFFITH ADVISORS, INC. | E | Control |
| PHOENIX DISTRIBUTION HOLDING COMPANY | DE | WS GRIFFITH ADVISORS, INC. | E | Control |
| PHOENIX DISTRIBUTION HOLDING COMPANY | DE | WS GRIFFITH ADVISORS, INC. | E | Control |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX DISTRIBUTION MANAGEMENT COMPANY | E | Control |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX DISTRIBUTION HOLDING COMPANY | E | Control |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX DISTRIBUTION HOLDING COMPANY | E | Control |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX DISTRIBUTION HOLDING COMPANY | E | Control |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX DISTRIBUTION HOLDING COMPANY | E | Control |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX DISTRIBUTION HOLDING COMPANY | E | Control |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX DISTRIBUTION HOLDING COMPANY | E | Control |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX DISTRIBUTION HOLDING COMPANY | E | Control |
Registrations
Federal
IA
Mar 25, 2002 REGISTERED
Notice Filings (47)
AK AL AR CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MD ME MI MN MO MS MT NC NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
111 FOUNDERS PLAZASUITE 400
EAST HARTFORD, CT 6108
USA
Phone: 860-403-3617