GG
Gregory M. Griffith
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CRD#: 4878355
GG
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.
Gregory Matthew Griffith, who also goes by Gregory Mathew Griffith, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2005. Gregory had worked at 9 firms and has passed the Series 66, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gregory Mathew Griffith
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.
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®
NoneExperience
Past
July 31, 2017 - August 15, 2018
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
RIA
CRD#: 151298
OLYMPIA, WA
Past
June 19, 2017 - August 28, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
OLYMPIA, WA
Past
June 15, 2015 - June 20, 2017
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
BELLEVUE, WA
Past
June 25, 2014 - September 4, 2014
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
MERCER ISLAND, WA
Past
August 17, 2011 - February 28, 2014
FSIC
RIA
CRD#: 37813
SEATTLE, WA
Past
August 17, 2011 - February 28, 2014
FSIC
BD
CRD#: 37813
SEATTLE, WA
Past
October 17, 2005 - August 15, 2011
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
BELLEVUE, WA
Past
September 7, 2005 - August 15, 2011
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
SEATTLE, WA
Past
February 28, 2005 - April 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BELLEVUE, WA
Past
February 2, 2005 - April 25, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 2, 2005 - April 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
FA
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
4:8 FINANCIAL | WILLAMETTE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WASATCH PEAKS FINANCIAL SERVICES | WAGSTAFF FINANCIAL | VON BORSTEL & ASSOCIATES | VINTAGE WEALTH ADVISORS | VERITAS WEALTH MANAGEMENT | VELIZ FINANCIAL MANAGEMENT | TYPE A FINANCIAL | TRUERETIREMENT | TRU FINANCIAL | TRIAD FINANCIAL STRATEGIES | TRADEWINDS WEALTH MANAGEMENT | TALLUS CAPITAL MANAGEMENT | TALLUS CAPITAL ADVISORS | SUNRISE WEALTH MANAGEMENT | STRATEGIC WEALTH PARTNERS | STRASSMAN & ASSOC. WEALTH MANAGEMENT | STONERIDGE WEALTH MANAGEMENT | SOUND WEALTH SERVICES | SIGNALINE INVESTMENTS. | SHERPA GUIDED WEALTH | SCS RETIREMENT | SAGE WEALTH MANAGEMENT | RENNAKER FINANCIAL | QE WEALTH MANAGEMENT | PRIZM FINANCIAL | PNW WEALTH MANAGEMENT | PINNACLE FINANCIAL GROUP | PHE FINANCIAL STRATEGIES | PETERS FINANCIAL GROUP | PARTNERSHIP WEALTH MANAGEMENT | PACE FINANCIAL ADVISORS | OLYMPIC INVESTMENT GROUP | NF ADVISORS | NEXUS STRATEGIC WEALTH | NEXT STEPS WEALTH MANAGEMENT | NEWPORT FINANCIAL PLANNING | MOMENTUM WEALTH STRATEGIES | MDM WEALTH MANAGEMENT | MATTESON INVESTMENT RESOURCES | MACKESON ADVISORY | LOCHNER WEALTH MANAGEMENT | LEWIS WEALTH MANAGEMENT PARTNERS | LEGACY WEALTH MANAGEMENT | LEE S. MARTIN | LATONA WEALTH PARTNERS | KIMBALL CREEK PARTNERS | KERRIGAN FINANCIAL MANAGEMENT | JPS WEALTH MANAGEMENT | JPS NEWTON | JMK & ASSOCIATES | INVEX FINANCIAL | INTEGRITY WEALTH ADVISORS | INDIGO WEALTH MANAGEMENT | ICON RETIREMENT AND INVESTMENT SERVICES | HOYT, LEWIS & ASSOCIATES | HERRIN FINANCIAL | HALE LAMB ASSOCIATES | GET CLARITY FINANCIAL SERVICES | FULL CIRCLE WEALTH STRATEGIES | FOUNTAIN STRATEGIES | FORS FINANCIAL CONSULTING | FORESEE WEALTH ADVISORS | FOCUSED FINANCIAL MANAGEMENT GROUP | FIRST FINANCIAL WEALTH SERVICES | FINANCIAL STRATEGIES GROUP | FINANCIAL SPYGLASS | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT NORCAL | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | FELLOWSHIP FINANCIAL PLANNING | ENCOMPASS WEALTH MANAGEMENT | EMBER WEALTH CONCEPTS & FINANCIAL PLANNING | ECF WEALTH | DAVIS GLOBAL WEALTH MANAGEMENT | CYNDY KOCHER | CREEKSTONE FINANCIAL CONSULTING | CORNERSTONE WEALTH STRATEGIES | CORNERSTONE FINANCIAL STRATEGIES | CORNERSTONE CONSULTING GROUP | COPPERLINE WEALTH MANAGEMENT & PLANNING | COMPASS WEALTH ADVISORY | COMPASS FINANCIAL LLC | COMPASS FINANCIAL | CLEARPOINT WEALTH MANAGEMENT | CLEARPOINT FINANCIAL PARTNERS | CLEARPOINT FINANCIAL | CLEARPOINT CAPITAL | CLEARPOINT COLLEGE PLANNING | CLEAR RETIREMENT GROUP | CLEAR RESOURCE GROUP | CLEAR CREEK WEALTH MANAGEMENT | CHAMBERS BAY ADVISORS | CARTOGRAPH WEALTH | CARRERA RETIREMENT COMPANY | CAPITOL FAMILY OFFICE | CAMERON WEALTH MANAGEMENT | CAMERON ADVISORY SERVICES | CAMBRIDGE WEALTH MANAGEMENT | CADILLAC WEALTH ADVISORS | BWA FINANCIAL | BEST WEALTH MANAGEMENT | BELLE FINANCIAL | BASILICA WEALTH MANAGEMENT | BAILEY WEALTH MANAGEMENT | B3 WEALTH STRATEGIES | AMERISAL FINANCIAL | AMERICAN UNITED INVESTMENT SERVICES
CRD#: 151298 / SEC#: 801-71546
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/27/2009
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FA
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
4:8 FINANCIAL | WILLAMETTE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WASATCH PEAKS FINANCIAL SERVICES | WAGSTAFF FINANCIAL | VON BORSTEL & ASSOCIATES | VINTAGE WEALTH ADVISORS | VERITAS WEALTH MANAGEMENT | VELIZ FINANCIAL MANAGEMENT | TYPE A FINANCIAL | TRUERETIREMENT | TRU FINANCIAL | TRIAD FINANCIAL STRATEGIES | TRADEWINDS WEALTH MANAGEMENT | TALLUS CAPITAL MANAGEMENT | TALLUS CAPITAL ADVISORS | SUNRISE WEALTH MANAGEMENT | STRATEGIC WEALTH PARTNERS | STRASSMAN & ASSOC. WEALTH MANAGEMENT | STONERIDGE WEALTH MANAGEMENT | SOUND WEALTH SERVICES | SIGNALINE INVESTMENTS. | SHERPA GUIDED WEALTH | SCS RETIREMENT | SAGE WEALTH MANAGEMENT | RENNAKER FINANCIAL | QE WEALTH MANAGEMENT | PRIZM FINANCIAL | PNW WEALTH MANAGEMENT | PINNACLE FINANCIAL GROUP | PHE FINANCIAL STRATEGIES | PETERS FINANCIAL GROUP | PARTNERSHIP WEALTH MANAGEMENT | PACE FINANCIAL ADVISORS | OLYMPIC INVESTMENT GROUP | NF ADVISORS | NEXUS STRATEGIC WEALTH | NEXT STEPS WEALTH MANAGEMENT | NEWPORT FINANCIAL PLANNING | MOMENTUM WEALTH STRATEGIES | MDM WEALTH MANAGEMENT | MATTESON INVESTMENT RESOURCES | MACKESON ADVISORY | LOCHNER WEALTH MANAGEMENT | LEWIS WEALTH MANAGEMENT PARTNERS | LEGACY WEALTH MANAGEMENT | LEE S. MARTIN | LATONA WEALTH PARTNERS | KIMBALL CREEK PARTNERS | KERRIGAN FINANCIAL MANAGEMENT | JPS WEALTH MANAGEMENT | JPS NEWTON | JMK & ASSOCIATES | INVEX FINANCIAL | INTEGRITY WEALTH ADVISORS | INDIGO WEALTH MANAGEMENT | ICON RETIREMENT AND INVESTMENT SERVICES | HOYT, LEWIS & ASSOCIATES | HERRIN FINANCIAL | HALE LAMB ASSOCIATES | GET CLARITY FINANCIAL SERVICES | FULL CIRCLE WEALTH STRATEGIES | FOUNTAIN STRATEGIES | FORS FINANCIAL CONSULTING | FORESEE WEALTH ADVISORS | FOCUSED FINANCIAL MANAGEMENT GROUP | FIRST FINANCIAL WEALTH SERVICES | FINANCIAL STRATEGIES GROUP | FINANCIAL SPYGLASS | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT NORCAL | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | FELLOWSHIP FINANCIAL PLANNING | ENCOMPASS WEALTH MANAGEMENT | EMBER WEALTH CONCEPTS & FINANCIAL PLANNING | ECF WEALTH | DAVIS GLOBAL WEALTH MANAGEMENT | CYNDY KOCHER | CREEKSTONE FINANCIAL CONSULTING | CORNERSTONE WEALTH STRATEGIES | CORNERSTONE FINANCIAL STRATEGIES | CORNERSTONE CONSULTING GROUP | COPPERLINE WEALTH MANAGEMENT & PLANNING | COMPASS WEALTH ADVISORY | COMPASS FINANCIAL LLC | COMPASS FINANCIAL | CLEARPOINT WEALTH MANAGEMENT | CLEARPOINT FINANCIAL PARTNERS | CLEARPOINT FINANCIAL | CLEARPOINT CAPITAL | CLEARPOINT COLLEGE PLANNING | CLEAR RETIREMENT GROUP | CLEAR RESOURCE GROUP | CLEAR CREEK WEALTH MANAGEMENT | CHAMBERS BAY ADVISORS | CARTOGRAPH WEALTH | CARRERA RETIREMENT COMPANY | CAPITOL FAMILY OFFICE | CAMERON WEALTH MANAGEMENT | CAMERON ADVISORY SERVICES | CAMBRIDGE WEALTH MANAGEMENT | CADILLAC WEALTH ADVISORS | BWA FINANCIAL | BEST WEALTH MANAGEMENT | BELLE FINANCIAL | BASILICA WEALTH MANAGEMENT | BAILEY WEALTH MANAGEMENT | B3 WEALTH STRATEGIES | AMERISAL FINANCIAL | AMERICAN UNITED INVESTMENT SERVICES
CRD#: 151298 / SEC#: 801-71546
RIA
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Contact information
Main Address
1601 Cooper Point Road Nw, Olympia, WA 98502
Mailing Address
Phone number
(360) 866-2345
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,288 |
| AUM (Assets Under Management) | $ 4,074,541,185 |
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.
