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CG

Chad A. Gardiner

GRIFFIN FINANCIAL GROUP
King Of Prussia, PA 19406
Some features on this profile are disabled
CRD#: 4701491
CG

Professional summary

Chad Aaron Gardiner, who also goes by Chad Gardiner, is a registered financial professional currently at GRIFFIN FINANCIAL GROUP, LLC located in King Of Prussia, Pennsylvania.

Chad is registered as a RR (Registered Representative) and started their career in finance in 2005. Chad has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chad Gardiner

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) - BD

Click below to view Chad Aaron Gardiner'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

August 18, 2025 - Present

GRIFFIN FINANCIAL GROUP, LLC

Office #1: 620 Freedom Business Center, King Of Prussia, PA 19406
BD
CRD#: 119004
King Of Prussia, PA
Past

May 11, 2020 - July 17, 2025

M&A SECURITIES GROUP, INC.

BD
CRD#: 39999
Lincoln, NE
Past

August 12, 2019 - April 6, 2020

KPMG CORPORATE FINANCE LLC

BD
CRD#: 103973
CHICAGO, IL
Past

May 8, 2018 - July 2, 2019

CAPSTONE PARTNERS

BD
CRD#: 132185
Denver, CO
Past

January 22, 2013 - June 26, 2018

HEADWATERS BD, LLC

BD
CRD#: 117042
DENVER, CO
Past

May 14, 2012 - January 29, 2013

LYNX CAPITAL, LLC

BD
CRD#: 137178
MORAGA, CA
Past

March 10, 2010 - May 17, 2010

CHINA ECAPITAL PARTNERS, LLC

BD
CRD#: 150251
IRVINE, CA
Past

September 11, 2008 - August 18, 2009

NEW CENTURY CAPITAL PARTNERS, INC.

BD
CRD#: 147071
LOS ANGELES, CA
Past

January 1, 2005 - November 25, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

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
Pennsylvania
(8/18/2025)
RR
Utah
(8/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/1/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 8/26/2008
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/1/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GF
GRIFFIN FINANCIAL GROUP, LLC
GRIFFIN FINANCIAL | GRIFFIN FINANCIAL GROUP, LLC

CRD#: 119004 / SEC#: , 8-53711

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
607 Washington Street, Reading, PA 19603
Mailing Address
607 Washington Street, Reading, PA 19603
Phone number
(610) 478-2105
Established
Pennsylvania since 08/16/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRIFFIN HOLDINGS GROUP, LLCMEMBER
CHOQUETTE, ERNEST JCHAIRMAN4494340
DUROFCHALK, JOHN MICHAELCFO, FINOP4494297
NOAH, SCOTT IVESCHIEF COMPLIANCE OFFICER2334448
O'LEARY, MATTHEW TODDCEO AND COO6077840
WALDRON, JEFFREY PETERPRINCIPAL4581878

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.

Company Information

GRIFFIN FINANCIAL GROUP, LLC

CRD#: 119004King Of Prussia, PA 19406

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