KG
Kittredge L. Griffin
KESTRA ADVISORY SERVICES
austin, TX 78746
Some features on this profile are disabled
CRD#: 1144522
KG
Professional summary
Kittredge Lee Griffin is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Kittredge is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kittredge has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Name: borgelt-griffin llc Investment Related: Yes Address: 614 capital of texas highway austin TX 78746 Nature of Business: Real Estate Position, Title or Relationship: general partner 50% owner Start Date: 12/16/1996 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: property managementBusiness Name: kestra advisory services,llc Investment Related: Yes Address: 5707 southwest parkway building 2, suite 400 austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: iar Start Date: 1/4/2018 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: investment adviroryBusiness Name: equity builders dba griffin financial group Investment Related: No Address: 614 capital of texas highway austin TX 78746 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: owner-president Start Date: 11/1/1989 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: all duties of the owner-president
CRS (Client Relationship Summary) - RIA
Click below to view Kittredge Lee Griffin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 614 Capital Of Texas Highway, Austin, TX 78746RIA
CRD#: 283330
austin, TX
Current
January 3, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 614 Capital Of Texas Highway, Austin, TX 78746BD
CRD#: 42046
Austin, TX
Past
January 5, 2012 - January 3, 2018
SII INVESTMENTS, INC.
RIA
CRD#: 2225
WEST LAKE HILLS, TX
Past
January 5, 2012 - January 3, 2018
SII INVESTMENTS, INC.
BD
CRD#: 2225
WEST LAKE HILLS, TX
Past
April 4, 2007 - January 30, 2012
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
April 4, 2007 - January 30, 2012
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
January 6, 2004 - April 13, 2007
SII INVESTMENTS, INC.
RIA
CRD#: 2225
AUSTIN, TX
Past
August 13, 1998 - December 31, 2003
SII INVESTMENTS, INC.
RIA
CRD#: 2225
AUSTIN, TX
Past
August 13, 1998 - April 13, 2007
SII INVESTMENTS, INC.
BD
CRD#: 2225
AUSTIN, TX
Past
June 18, 1989 - August 13, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
March 15, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
September 7, 1983 - February 22, 1988
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/22/2018)
RR
Arizona(1/3/2018)
RR
Arkansas(1/4/2018)
RR
California(1/3/2018)
RR
Colorado(1/3/2018)
RR
District of Columbia(8/16/2021)
RR
Florida(1/3/2018)
RR
Georgia(1/3/2018)
RR
Kansas(1/3/2018)
RR
Mississippi(1/3/2018)
RR
Nebraska(2/5/2024)
RR
Nevada(2/6/2018)
RR
New Mexico(1/26/2018)
RR
North Carolina(1/3/2018)
RR
Oklahoma(1/10/2018)
RR
Oregon(1/3/2018)
RR
South Carolina(3/14/2025)
RR
Tennessee(1/13/2023)
RR
Texas(1/3/2018)
IAR
Texas(1/3/2018)
RR
Virgin Islands(6/1/2018)
RR
Virginia(1/3/2018)
RR
Washington(3/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
