PG
Patrick H. Griggs
CETERA INVESTMENT ADVISERS LLC
GRAND JUNCTION, CO 81501
Some features on this profile are disabled
CRD#: 2701104
PG
Professional summary
Patrick Hastings Griggs is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Grand Junction, Colorado and CETERA WEALTH SERVICES, LLC located in Grand Junction, Colorado.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Patrick has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 04/1996 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: PATRICK GRIGGS (PROPERTY OWNER) INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: PROPERTY MANAGEMENT START DATE: 07/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: MAINENANCE, MANAGEMENT AND RENTING OF RESIDENTIAL REAL ESTATE PROPERTIES. 3. NAME OF OTHER BUSINESS: INVESTMENT PLANNING SOLUTIONS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2013 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 35 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: ALL FACETS OF CLIENT ENGAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Hastings Griggs'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
September 16, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2135 N 7th Street, Grand Junction, CO 81501RIA
CRD#: 105644
GRAND JUNCTION, CO
Current
September 16, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2135 N 7th Street, Grand Junction, CO 81501BD
CRD#: 13572
Grand Junction, CO
Past
June 26, 2013 - September 19, 2024
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
GRAND JUNCTION, CO
Past
June 26, 2013 - September 19, 2024
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
GRAND JUNCTION, CO
Past
February 13, 2002 - June 27, 2013
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
LAKEWOOD, CO
Past
January 14, 1999 - June 27, 2013
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
LAKEWOOD, CO
Past
February 26, 1996 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Arizona(9/16/2024)
RR
California(9/16/2024)
RR
Colorado(9/16/2024)
IAR
Colorado(9/16/2024)
RR
Florida(9/16/2024)
RR
Maryland(9/16/2024)
RR
Michigan(9/16/2024)
RR
Missouri(9/16/2024)
RR
New Mexico(9/16/2024)
RR
North Carolina(9/19/2024)
RR
South Dakota(9/16/2024)
RR
Tennessee(9/16/2024)
RR
Texas(9/16/2024)
IAR
Texas(9/16/2024)
RR
Utah(9/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
