Kevin C. Griffin

I3 INVESTMENT PARTNERS

Carson City, NV 89701

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CRD#: 1858586

Professional summary

Kevin Christopher Griffin is a registered financial advisor currently at I3 INVESTMENT PARTNERS, LLC located in Carson City, Nevada.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Kevin has worked at 15 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 55 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Christopher 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®

None

Experience

Current

March 24, 2025 - Present

I3 INVESTMENT PARTNERS, LLC

Office #1: 550 Mallory Way Suite 115, Carson City, NV 89701

RIA

CRD#: 307104

Carson City, NV

Past

February 8, 2022 - December 31, 2024

I3 INVESTMENT PARTNERS, LLC

RIA

CRD#: 307104

New York, NY

Past

December 15, 2016 - November 22, 2019

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEW YORK, NY

Past

November 8, 2016 - November 22, 2019

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

October 24, 2013 - November 22, 2016

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 28, 2012 - October 29, 2013

FOREFRONT CAPITAL MARKETS LLC

CRD#: 151812

NEW YORK, NY

Past

February 4, 2011 - December 4, 2012

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

January 16, 2007 - August 29, 2007

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

June 29, 2006 - November 10, 2006

SANDERS MORRIS LLC

CRD#: 20580

NEW YORK, NY

Past

March 31, 2004 - August 30, 2005

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

May 30, 1997 - July 10, 2000

CORINTHIAN PARTNERS, L.L.C.

CRD#: 38912

NEW YORK, NY

Past

February 28, 1996 - January 1, 1997

MATRIX SECURITIES CORPORATION

CRD#: 30991

GARDEN CITY, NY

Past

February 16, 1995 - February 12, 1996

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

November 24, 1993 - February 16, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 11, 1991 - November 30, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 24, 1989 - July 1, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 26, 1988 - May 30, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

Highlighted states indicate IAR registrations

IAR

Nevada
(3/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/9/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/5/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/5/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/2011

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 7/7/2006

Limited Representative-Equity Trader Exam

Principal/Supervisory Exam

Series 24

Date: 8/30/1996

General Securities Principal Examination

Current Firm

I3 INVESTMENT PARTNERS, LLC

CRD#: 307104 / SEC#:

Nevada

Registered Investment Advisory firm - (2/21/2025 Approved)

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Contact information

Main Address

550 Mallory Way Suite 115, Carson City, NV 89701

Mailing Address

Phone number

(888) 909-9084

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 73,000,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
California	ERA - Withdrawn	9/22/2021

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.

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Advisor Monitoring

Firm Stability Insights

Kevin C. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Christopher Griffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

I3 INVESTMENT PARTNERS, LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

FOREFRONT CAPITAL MARKETS LLC

DOMINICK & DICKERMAN LLC

MAXIM GROUP LLC

SANDERS MORRIS LLC

MAXIM GROUP LLC

CORINTHIAN PARTNERS, L.L.C.

MATRIX SECURITIES CORPORATION

GRUNTAL & CO., L.L.C.

CIBC WORLD MARKETS CORP.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 2/9/2011

Series 63

Date: 4/5/2004

Series 65

Date: 3/5/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/3/2011

Series 55

Date: 7/7/2006

Series 24

Date: 8/30/1996

Current Firm

I3 INVESTMENT PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

I3 INVESTMENT PARTNERS, LLC

TRUST BUT VERIFY

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