Carol M. Griffin
Professional summary
Carol Marie Griffin, who also goes by Carol Marie Duke, Carole Marie Duke, Carole Marie Griffin, is a registered financial advisor currently at PARSONEX ADVISORY SERVICES, INC. located in Englewood, Colorado and PARSONEX SECURITIES, INC. located in Englewood, Colorado.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Carol has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carol Marie Griffin's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2021 - Present
PARSONEX ADVISORY SERVICES, INC.
Office #1: 8310 S. Valley Highway Suite 110, Englewood, CO 80112December 18, 2007 - Present
PARSONEX SECURITIES, INC.
Office #1: 8310 S. Valley Highway Suite 110, Englewood, CO 80112March 23, 2017 - December 31, 2020
PARSONEX ADVISORY SERVICES, INC.
January 5, 2006 - July 25, 2007
CCF INVESTMENTS, INC.
February 18, 2005 - December 31, 2005
THE LEADERS GROUP, INC.
May 19, 2003 - February 9, 2005
PFS INVESTMENTS INC.
Primary Firm SEC Registration
PARSONEX ADVISORY SERVICES, INC.
CRD#: 160275 / SEC#: 801-74543
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2014)
(11/6/2008)
(1/8/2021)
(1/18/2008)
(1/11/2021)
(3/4/2021)
(1/12/2022)
(10/25/2023)
(2/11/2008)
(4/30/2020)
(8/14/2019)
(1/6/2015)
(5/14/2008)
(7/28/2021)
(6/22/2023)
(9/1/2017)
(12/6/2022)
(9/27/2023)
(8/10/2021)
(4/30/2008)
(12/13/2021)
(3/8/2019)
(6/4/2018)
(1/13/2021)
(4/1/2021)
(10/18/2024)
(2/4/2020)
(8/14/2023)
(7/25/2022)
Exams
FINRA
Current Firm
PARSONEX ADVISORY SERVICES, INC.
CRD#: 160275 / SEC#: 801-74543
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 609 |
| AUM (Assets Under Management) | $ 174,840,469 |
Red Flags
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