Mitchell F. Griffin

CETERA INVESTMENT ADVISERS LLC

STARKVILLE, MS 39759

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CRD#: 3129686

Professional summary

Mitchell Frank Griffin, who also goes by Mitch Griffin, Mitchell Frank Griffin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Starkville, Mississippi and CETERA WEALTH SERVICES, LLC located in Starkville, Mississippi.

Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Mitchell has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mitch Griffin | Mitchell Frank 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.

CB&S FINANCIAL SERVICES (A DIVISION OF CB&S BANK); Investment Related; Columbus, MS; Insurance and Financial Services; Financial Services Representative; Start Date 04/2022; 160 hours per month, more or less, with the majority of hours per month occurring during trading hours; Offer insurance, investment and securities products and services to CB&S customers. >> FELLOWSHIP OF CHRISTIAN ATHLETES (FCA); Non-Investment Related; Other; Board Member; 115 N Fulton Street, Mathiston, MS 39752; Start Date 2010; 3 hours per month with those 3 hours occurring during trading hours; Attend board meetings - purpose of organization is to expand the Christian faith with the coaches and players. I assist with the business of the local chapter of the FCA. >> 1st BAPTIST CHURCH; Non-Investment Related; Columbus, MS; Other; Deacon; Start Date 01/2013; 3 hours per month with no hours per month during trading hours; Attend monthly meeting to provide help to members and staff.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Frank Griffin's CRS (Customer Relationship Summary).

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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 303 Highway 12 West, Starkville, MS 39759

RIA

CRD#: 105644

STARKVILLE, MS

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 303 Highway 12 West, Starkville, MS 39759

CRD#: 13572

Starkville, MS

Past

April 14, 2022 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Starkville, MS

Past

April 14, 2022 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Starkville, MS

Past

February 13, 2017 - April 21, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

COLUMBUS, MS

Past

February 13, 2017 - April 21, 2022

LPL FINANCIAL LLC

CRD#: 6413

COLUMBUS, MS

Past

February 19, 2003 - February 17, 2017

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

COLUMBUS, MS

Past

November 2, 1998 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

November 2, 1998 - February 17, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

COLUMBUS, MS

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(2/20/2025)

Mississippi
(2/20/2025)

IAR

Mississippi
(2/20/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/30/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Mitchell F. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Frank Griffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2000

Series 63

Date: 11/9/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2000

Series 6

Date: 10/30/1998

Series 24

Date: 7/29/2004

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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