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LG

Lauren E. Griggs

SCHWAB WEALTH ADVISORY
Edina, MN 55435-9878
Some features on this profile are disabled
CRD#: 5679550
LG

Professional summary

Lauren Elizabeth Griggs, CFP®, who also goes by Lauren Elizabeth Griggs, Laura Klein, Lauren Elizabeth Klein, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Edina, Minnesota and CHARLES SCHWAB & CO., INC. located in Edina, Minnesota.

Lauren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Lauren has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lauren Elizabeth Griggs | Laura Klein | Lauren Elizabeth Klein

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 Lauren Elizabeth Griggs'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

September 15, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 3601 Minnesota Drive Suite 430, Edina, MN 55435-9878
RIA
CRD#: 159035
Edina, MN
Current

September 15, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3601 Minnesota Drive Suite 430, Edina, MN 55435-9878
RIA
BD
CRD#: 5393
Edina, MN
Current

September 15, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3601 Minnesota Drive Suite 430, Edina, MN 55435-9878
RIA
BD
CRD#: 5393
Edina, MN
Past

August 30, 2024 - August 29, 2025

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
ST. PAUL, MN
Past

August 16, 2024 - August 29, 2025

U.S. BANCORP ADVISORS, LLC

RIA
CRD#: 14455
Minneapolis, MN
Past

June 5, 2024 - August 29, 2025

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
Minneapolis, MN
Past

April 15, 2024 - August 29, 2025

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
Minneapolis, MN
Past

February 1, 2017 - March 12, 2024

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
MINNEAPOLIS, MN
Past

December 19, 2016 - March 16, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
EDINA, MN
Past

December 19, 2016 - March 16, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
EDINA, MN
Past

November 17, 2015 - December 21, 2016

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
GOLDEN VALLEY, MN
Past

November 17, 2015 - December 21, 2016

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
GOLDEN VALLEY, MN
Past

January 24, 2014 - November 23, 2015

VANTAGE POINT WEALTH MANAGEMENT

RIA
CRD#: 167886
PLYMOUTH, MN
Past

December 20, 2013 - October 28, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
LAKEVILLE, MN
Past

September 26, 2011 - July 3, 2012

INVESTORS FINANCIAL GROUP

RIA
CRD#: 154168
MINNEAPOLIS, MN
Past

September 1, 2011 - December 3, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
LAKEVILLE, MN
Past

August 31, 2009 - August 23, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
MINNEAPOLIS, MN
Past

July 22, 2009 - August 23, 2011

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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 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.
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
Minnesota
(9/15/2025)
IAR
Minnesota
(9/15/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/4/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/11/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/23/2025
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/11/2025
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/5/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9800 Schwab Way, Lone Tree, CO 80124
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (12/11/2025)

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

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035Edina, MN 55435-9878

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