Mark A. Griffin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Alan Griffin, CFP®, who also goes by Mark Griffin, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
June 3, 2022 - November 20, 2023
COLDSTREAM WEALTH MANAGEMENT
June 3, 2022 - November 20, 2023
COLDSTREAM SECURITIES, INC.
April 1, 2022 - June 16, 2022
LWM WEALTH MANAGEMENT, INC
February 8, 2016 - April 4, 2022
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
January 25, 2016 - April 19, 2022
LPL FINANCIAL LLC
November 2, 2012 - January 29, 2016
WADDELL & REED
November 2, 2012 - January 28, 2016
WADDELL & REED
January 3, 2011 - November 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - November 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 24, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 24, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 24, 2004 - March 31, 2008
WAMU INVESTMENTS, INC.
November 24, 2004 - March 31, 2008
WAMU INVESTMENTS, INC.
April 27, 2004 - November 16, 2004
PHILLIPS & COMPANY
November 23, 2001 - November 16, 2004
PHILLIPS & COMPANY
January 4, 2001 - March 8, 2001
WILLAMETTE SECURITIES, INC.
June 27, 1996 - March 20, 2001
PHILLIPS & COMPANY
Primary Firm SEC Registration
COLDSTREAM WEALTH MANAGEMENT
CRD#: 108805 / SEC#: 801-39379
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COLDSTREAM WEALTH MANAGEMENT
CRD#: 108805 / SEC#: 801-39379
Contact information
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,519 |
| AUM (Assets Under Management) | $ 12,438,532,202 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/27/2024 | ||
| 09/29/2023 |
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.
