MG
Michael R. Griffin
DIMENSIONAL FUND ADVISORS LP
Austin, TX 78746
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CRD#: 2793878
MG
Professional summary
Michael Ray Griffin, who also goes by Michael Ray Griffin, Mike Griffin, is a registered financial advisor currently at DIMENSIONAL FUND ADVISORS LP located in Austin, Texas and DFA SECURITIES LLC located in Charlotte, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 5 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Ray Griffin | Mike Griffin
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.
I*115672 For profit or not for profit: For-Profit Organization Name of outside business organization: Griffin Fitness Investment related: N Address of business: Concord, North Carolina 28027 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 8/1/2018 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Personal Fitness Training 2) Name of Business: American Retirement Association./ Address; 4401 Fairfax Dr. #600Arlington VirginiaUnited States 22203./Investment Related: No./ Nature: Advocating for ensuring all Americans have access to retirement plans. It is the retirement plan industry./ Role: Member of Board of directors./ Duty: I will serve as an industry executive helping to inform the organization on the marketplace to provide direction for industry conferences and give the perspective of financial organizations./ Start Date: 9/1/2023./ Time Required: Yes.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ray 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
July 18, 2025 - Present
DIMENSIONAL FUND ADVISORS LP
Office #1: 6300 Bee Cave Road Building One, Austin, TX 78746RIA
CRD#: 106482
Austin, TX
Current
July 17, 2025 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203BD
CRD#: 10292
Charlotte, NC
Past
July 30, 2021 - July 14, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NASHVILLE, TN
Past
July 19, 2021 - July 14, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NASHVILLE, TN
Past
June 7, 2005 - June 14, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
May 19, 2005 - June 14, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
September 12, 1996 - September 21, 2001
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
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".
DF
DIMENSIONAL FUND ADVISORS LP
DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.
CRD#: 106482 / SEC#: 801-16283
RIA
Registered Investment Advisory firm - (8/26/1981 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(7/18/2025)
RR
Alaska(7/17/2025)
RR
Arizona(7/17/2025)
RR
Arkansas(7/17/2025)
RR
California(7/17/2025)
RR
Colorado(7/17/2025)
RR
Connecticut(7/17/2025)
RR
Delaware(7/17/2025)
RR
District of Columbia(7/17/2025)
RR
Florida(7/21/2025)
RR
Georgia(7/17/2025)
RR
Idaho(7/17/2025)
RR
Illinois(7/17/2025)
RR
Indiana(7/17/2025)
RR
Iowa(7/17/2025)
RR
Kansas(7/17/2025)
RR
Kentucky(7/17/2025)
RR
Louisiana(7/17/2025)
RR
Maine(7/17/2025)
RR
Maryland(7/17/2025)
RR
Massachusetts(7/17/2025)
RR
Michigan(7/17/2025)
RR
Minnesota(7/17/2025)
RR
Mississippi(7/17/2025)
RR
Missouri(7/17/2025)
RR
Montana(7/17/2025)
RR
Nebraska(7/17/2025)
RR
Nevada(7/17/2025)
RR
New Hampshire(7/17/2025)
RR
New Jersey(7/17/2025)
RR
New Mexico(7/17/2025)
RR
New York(7/17/2025)
RR
North Carolina(7/17/2025)
RR
North Dakota(7/17/2025)
RR
Ohio(7/17/2025)
RR
Oklahoma(7/17/2025)
RR
Oregon(7/17/2025)
RR
Pennsylvania(7/17/2025)
RR
Rhode Island(7/17/2025)
RR
South Carolina(7/17/2025)
RR
South Dakota(7/17/2025)
RR
Texas(7/17/2025)
IAR
Texas(7/18/2025)
RR
Utah(7/17/2025)
RR
Vermont(7/17/2025)
RR
Virginia(7/17/2025)
RR
Washington(7/17/2025)
RR
West Virginia(7/17/2025)
RR
Wisconsin(7/17/2025)
RR
Wyoming(7/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/17/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DF
DIMENSIONAL FUND ADVISORS LP
DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.
CRD#: 106482 / SEC#: 801-16283
RIA
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Contact information
Main Address
6300 Bee Cave Road Building One, Austin, TX 78746
Mailing Address
Phone number
(512) 306-7400
Established
Firm type
Fiscal year end
# of Employees
1,135
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
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.
