# Griffin Securities, Inc.: fundraiser

> Griffin Securities, Inc. placed 1 company rounds filed with the SEC, most recently Oct 2020. Who they placed, by sector and size.

Source: https://millionrounds.com/providers/griffin-securities-inc (Millionrounds; every figure on the page links to its filing or article)

[Fundraisers](https://millionrounds.com/fundraisers) / Griffin Securities, Inc.

Fundraiser Registered broker-dealer

# Griffin Securities, Inc.

FINRA 43229 · placing rounds since Oct 2020

**1** company rounds placed

**0** in the last two years, last Oct 2020

**$41M** sold in the rounds they placed

**6.0%** typical commission; the median firm takes 4.9%

Named on 1 Form D filing as paid to sell the offering: 1 for operating companies.

## How big the rounds are

- Under $1M **0**
- $1M to $5M **1**
- $5M to $20M **2**
- $20M to $100M **1**
- $100M+ **0**

## Where the companies are

**VA** 2 **CA** 1 **WI** 1

## Rounds they placed

[Company rounds](https://millionrounds.com/providers/griffin-securities-inc)[Everything, funds and real estate too](https://millionrounds.com/providers/griffin-securities-inc?show=all)

Filed Issuer Industry Sold

Oct 2020 Rezolute, Inc. Biotechnology **$41M**

Aug 2015 Tricast Holdings, LLC Other Health Care **$3.3M**

Mar 2015 AmpliPhi Biosciences Corp Agents: Griffin Securities, Inc. Biotechnology **$13M**

Jan 2014 AmpliPhi Biosciences Corp Agents: Griffin Securities, Inc. Biotechnology **$18M**

From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown.

## Often on the same rounds

Other fundraisers named on the same filings: the firms they syndicate with.

[**Roth Capital Partners, LLC** 2 rounds together](https://millionrounds.com/providers/roth-capital-partners-llc)[**Canaccord Genuity LLC** 1 round together](https://millionrounds.com/providers/canaccord-genuity-llc)[**Citizens Jmp Securities, LLC** 1 round together](https://millionrounds.com/providers/citizens-jmp-securities-llc)

## Founders who worked with them

No one has said so yet.

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## A badge for their site

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