Brett T. Griffin

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CRD#: 3198727

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.

Brett T Griffin, CFP®, who also goes by Brett Thomas Griffin, was a registered financial professional .

Brett is a previously registered financial professional and started their career in finance in 1999. Brett had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brett Thomas 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Past

January 10, 2024 - April 7, 2025

DAVIES FINANCIAL ADVISORS, INC.

RIA

CRD#: 139764

MURRIETA, CA

Past

September 14, 2005 - January 10, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Carlsbad, CA

Past

September 14, 2005 - January 10, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Carlsbad, CA

Past

March 16, 2001 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LA JOLLA, CA

Past

March 14, 2000 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 21, 1999 - March 31, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

DAVIES FINANCIAL ADVISORS, INC.

CRD#: 139764 / SEC#: 801-126564

RIA

Registered Investment Advisory firm - (9/15/2022 Approved)

Arizona

Registered Investment Advisory firm - (12/16/2022 Terminated)

California

Registered Investment Advisory firm - (11/9/2022 Terminated)

Oregon

Registered Investment Advisory firm - (10/28/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/10/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 6/9/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/2/2000

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: 12/20/1999

General Securities Representative Examination

Current Firm

DAVIES FINANCIAL ADVISORS, INC.

CRD#: 139764 / SEC#: 801-126564

RIA

Registered Investment Advisory firm - (9/15/2022 Approved)

Arizona

Registered Investment Advisory firm - (12/16/2022 Terminated)

California

Registered Investment Advisory firm - (11/9/2022 Terminated)

Oregon

Registered Investment Advisory firm - (10/28/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/10/2022 Terminated)

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Contact information

Main Address

25109 Jefferson Ave Suite 205, Murrieta, CA 92562

Mailing Address

Phone number

(951) 677-3960

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	303
AUM (Assets Under Management)	$ 288,171,244

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

Brett T. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

DAVIES FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/9/2000

Series 65

Date: 6/2/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/20/1999

Current Firm

DAVIES FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DAVIES FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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