Hayes P. Griffin

CETERA INVESTMENT ADVISERS

Vista, CA

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CRD#: 4859510

Professional summary

Hayes Patrick Griffin, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Vista, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Hayes is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Hayes has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

None

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) - RIA

Click below to view Hayes Patrick 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®

CFP^®

Certified Financial Planner

Experience

Current

July 13, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

RIA

CRD#: 105644

Vista, CA

Current

July 13, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

EL SEGUNDO, CA

Past

October 6, 2020 - June 29, 2026

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

Vista, CA

Past

October 5, 2020 - June 29, 2026

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

Boca Raton, FL

Past

July 22, 2020 - September 23, 2020

CAPITAL ANALYSTS

RIA

CRD#: 162200

Jupiter, FL

Past

July 20, 2020 - September 23, 2020

LINCOLN INVESTMENT

RIA

CRD#: 519

Jupiter, FL

Past

July 20, 2020 - September 23, 2020

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

December 2, 2019 - December 24, 2019

EDWARD JONES

RIA

CRD#: 250

JUPITER, FL

Past

November 8, 2019 - December 24, 2019

EDWARD JONES

CRD#: 250

JUPITER, FL

Past

December 8, 2011 - August 23, 2019

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

March 15, 2006 - December 6, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLEASANTVILLE, 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".

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

California
(7/13/2026)

IAR

California
(7/13/2026)

Delaware
(7/13/2026)

District of Columbia
(7/13/2026)

Maryland
(7/13/2026)

New Jersey
(7/13/2026)

Pennsylvania
(7/13/2026)

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 66

Date: 11/27/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2006

General Securities Representative 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

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

Hayes P. Griffin

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hayes Patrick Griffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

EDWARD JONES

EDWARD JONES

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/27/2019

SIE

Date: 10/1/2018

Series 7

Date: 3/13/2006

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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