Auxo Firm Directory · Independent Research Profile

Griffin Securities

Griffin Securities, Inc. is a New York-based full-service investment banking firm serving new and established innovative-technology companies. Its stated capabilities include M&A, capital raising, financial advisory services, institutional sales, proprietary research, securities offerings, valuation analyses, and strategic advisory work.

Key takeaway

What stands out about Griffin Securities

Griffin Securities publicly combines M&A and financial advisory services with capital raising, private placements, underwriting, institutional sales, and research. Its stated focus includes software, healthcare, biotechnology, energy, and synthetic biology, while the cited official pages do not state client-size thresholds or engagement economics.[1][2][3][4][10][12]

What does Griffin Securities do?

Griffin Securities, Inc. describes itself as a full-service investment banking firm based in New York City, with an address at 17 State Street, 3rd Floor, New York, NY 10004.

The firm publicly states that it offers capital raising, mergers and acquisitions, financial advisory services, institutional sales, and proprietary research. Its investment-banking materials describe work with new and established innovative-technology companies, including support for strategy, financing activities, and strategic exits.[1][2][4]

Griffin publicly lists capital raising, M&A, financial advisory services, institutional sales, and proprietary research. Its advisory page also identifies public equity offerings, PIPE transactions, private equity offerings for non-public companies, fairness opinions, valuation analyses, investor roadshows, partnerships, collaborations, business development, transaction analysis, due diligence, and general advisory services.[2][3]

Owners comparing advisory firms can also review Auxo’s M&A advisor vs. business broker vs. investment bank comparison, advisor-selection guide, and sell-side advisor evaluation framework.

Public size / criteria information
The cited official About page and homepage do not state revenue, EBITDA, enterprise-value, transaction-size, minimum-engagement, or other client-size criteria.[1][2][4][10]

What should a business owner evaluate before hiring Griffin Securities?

Owners evaluating Griffin can examine a service offering that spans M&A, financing, financial advice, valuation analyses, institutional distribution, research, and strategic advisory work. The firm’s stated sector coverage includes software, healthcare, biotechnology, energy, and synthetic biology, and its regulatory record includes brokerage, underwriting, listed-securities transaction arranging, and private placements.

Because the cited official pages do not state client-size criteria or engagement economics, an owner should request the firm’s applicable transaction-size and financial criteria, recent comparable assignments, buyer or investor coverage, conflicts information, valuation methodology, process design, and complete retainer, success-fee, expense, exclusivity, tail, termination, and indemnification terms.[1][2][3][4][11]

01

Which recent sell-side, buy-side, strategic-financing, or private-placement assignments are most comparable to the company

The official News page does not present a dedicated current transaction archive or named deal list, while SEC filings provide representative historical examples rather than a current comprehensive roster.[7][8][9][10]
02

What transaction-size, revenue, EBITDA, market-capitalization, or sector criteria determine whether Griffin accepts an engagement

The cited official About page and homepage do not state revenue, EBITDA, enterprise-value, transaction-size, minimum-engagement, or other client-size criteria.[1][2]
03

Which services are provided by Griffin Securities, Inc. as broker-dealer versus in an advisory capacity

Griffin publicly describes both advisory services and securities activities, while FINRA identifies corporate-equity brokerage, underwriting or selling-group participation, listed-securities transaction arranging, and private placements.[3][11]

What size transactions and clients does Griffin Securities focus on?

The firm’s About page identifies Software, Healthcare, Energy, and Synthetic Biology as areas of focus. Its homepage currently identifies Software, Biotechnology, and Energy as focus areas.[1][2]

Public SEC filings provide several identifiable examples of Griffin Securities’ transaction activity. A 2012 SEC-filed agreement identifies Griffin Securities, Inc. as the company’s financial advisor and/or agent for a business transaction.

A 2007 SEC-filed placement-agent agreement identifies Griffin Securities, Inc. as exclusive placement agent for Znomics, Inc.’s proposed private placement to raise up to $10 million. A 2013 SEC-filed underwriting agreement identifies Griffin Securities, Inc. as the underwriter for an Oragenics, Inc. securities offering.[7][8][9]

Griffin’s stated transaction-related capabilities include mergers and acquisitions, capital raising, public equity offerings, PIPE transactions, private equity offerings for non-public companies, underwriting, private placements, valuation analyses, and strategic advisory work.

FINRA reports that the firm conducts corporate-equity brokerage, underwriting or selling-group participation, listed-securities transaction arranging, and private placements of securities.[2][3][4][11]

What does Griffin Securities publicly disclose about fees, process and engagement terms?

The cited official About page and homepage do not state revenue, EBITDA, enterprise-value, transaction-size, minimum-engagement, or other client-size criteria.

The cited official investment-banking page does not publish fee percentages, retainers, expense terms, exclusivity provisions, tail periods, or termination schedules. The official News page lists media, research, and analyst appearances but does not present a dedicated current transaction archive or named deal list.[1][2][4][10]

FINRA’s current firm-level BrokerCheck report identifies Griffin Securities, Inc. as a New York corporation formed on April 1, 1997, with CRD #43229 and SEC #8-50186. The report states that the firm is registered with the SEC, one self-regulatory organization, and three U.S. states and territories; it lists SEC and FINRA effective dates of September 5, 1997, and state registrations in California, New York, and Washington.

The firm’s About page states that it is a member of FINRA and SIPC and has no other domestic or international affiliates or subsidiaries.[1][11]

Griffin’s About page presents the firm as a trusted ally focused on strategies, development, and operations intended to deliver sustained growth and shareholder value.[1]

Questions to ask before hiring Griffin Securities

Which recent sell-side, buy-side, strategic-financing, or private-placement assignments are most comparable to the company?
The official News page does not present a dedicated current transaction archive or named deal list, while SEC filings provide representative historical examples rather than a current comprehensive roster.[7][8][9][10]
What transaction-size, revenue, EBITDA, market-capitalization, or sector criteria determine whether Griffin accepts an engagement?
The cited official About page and homepage do not state revenue, EBITDA, enterprise-value, transaction-size, minimum-engagement, or other client-size criteria.[1][2]
Which services are provided by Griffin Securities, Inc. as broker-dealer versus in an advisory capacity?
Griffin publicly describes both advisory services and securities activities, while FINRA identifies corporate-equity brokerage, underwriting or selling-group participation, listed-securities transaction arranging, and private placements.[3][11]
What are the retainer, success fee, expense, exclusivity, tail, termination, and indemnification provisions?
The cited official investment-banking page does not publish fee percentages, retainers, expense terms, exclusivity provisions, tail periods, or termination schedules.[4]
Which buyers, investors, or institutional accounts would be contacted, and how are conflicts managed?
The firm publicly states that it provides institutional sales, capital raising, and financial advisory services; the cited materials do not establish the buyer, investor, or institutional-account coverage for a proposed engagement.[2][3]
What current FINRA, SEC, SIPC, and state-registration information should be independently verified for the proposed engagement?
FINRA’s current firm-level report identifies the firm’s registrations and state footprint, while the official About page states FINRA and SIPC membership.[1][11]

Sources & research notes

Public-source research
  1. Official website / firm overview
  2. Services / capabilities
  3. Services / capabilities
  4. Services / capabilities
  5. Geography / market coverage
  6. SEC filing / regulatory record
  7. SEC filing / regulatory record
  8. SEC filing / regulatory record
  9. SEC filing / regulatory record
  10. Public disclosure information
  11. FINRA regulatory record
  12. SEC filing / regulatory record
Prepared and reviewed by: Auxo Capital AdvisorsEvidence standard: Public-source verification

How this profile was researched

Auxo profiles are prepared from publicly available primary and authoritative sources and reviewed for entity identity, factual support and disclosure consistency. When a fact cannot be supported by the reviewed public record, the profile identifies it as something to confirm directly rather than inferring it.

Independent profile & regulatory context

Independent research profile

This profile was prepared by Auxo Capital Advisors from publicly available information believed to be reliable and is provided solely for informational and educational purposes. It is not an endorsement, recommendation, ranking, solicitation, or representation regarding the profiled firm, its services, qualifications, transaction experience, regulatory status, financial condition, or suitability for any particular person, company, transaction, or investment.

Information obtained from third-party and public sources may be incomplete, inaccurate, outdated, or subject to change, and Auxo Capital Advisors makes no representation or warranty, express or implied, as to its accuracy, completeness, or timeliness. Readers should conduct their own independent diligence and consult appropriate professional advisers before engaging any advisor, intermediary, investor, lender, acquirer, or other transaction counterparty.

Broker-dealer and securities disclosure

Auxo Capital Advisors is an affiliate of Weild & Co., Member FINRA | SIPC. Securities-related activities and securities transactions are conducted through Weild & Co.

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