Kathryn E. Griffin

EATON VANCE MANAGEMENT

BOSTON, MA 02109

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CRD#: 6432144

Professional summary

Kathryn Elaine Griffin is a registered financial advisor currently at EATON VANCE MANAGEMENT located in Boston, Massachusetts and EATON VANCE DISTRIBUTORS, INC. located in Boston, Massachusetts.

Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Kathryn has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

*484396 - Barry's Bootcamp LLC; Investment related No; Boston, Massachusetts; Fitness; Front Desk (proprietor, partner, officer, director, employee, trustee, agent); 03/2021; During business hours: 0; After business hours: 30; Customer Service

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Elaine 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®

None

Experience

Current

January 20, 2016 - Present

EATON VANCE MANAGEMENT

Office #1: One Post Office Square, Boston, MA 02109

RIA

CRD#: 104859

BOSTON, MA

Current

August 10, 2015 - Present

EATON VANCE DISTRIBUTORS, INC.

Office #1: One Post Office Square, Boston, MA 02109

CRD#: 37731

BOSTON, MA

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".

EATON VANCE MANAGEMENT

CRD#: 104859 / SEC#: 801-15930

RIA

Registered Investment Advisory firm - (2/20/1981 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

Arkansas
(6/10/2024)

IAR

Massachusetts
(1/20/2016)

Massachusetts
(12/3/2019)

Mississippi
(6/10/2024)

Tennessee
(4/23/2024)

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: 1/11/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/7/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EATON VANCE MANAGEMENT

CRD#: 104859 / SEC#: 801-15930

RIA

Registered Investment Advisory firm - (2/20/1981 Approved)

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Contact information

Main Address

One Post Office Square, Boston, MA 02109

Mailing Address

Phone number

(617) 482-8260

Established

Firm type

Fiscal year end

# of Employees

247

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVM FORM ADV PART 2A BROCHURE (6/18/2025)

Regulatory assets under management

Total Number of Accounts	4,053
AUM (Assets Under Management)	$ 84,879,368,900

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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Kathryn E. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Elaine Griffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

EATON VANCE DISTRIBUTORS, INC.

Primary Firm SEC Registration

EATON VANCE MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 1/11/2016

Series 63

Date: 10/7/2014

SIE

Date: 10/1/2018

Series 7

Date: 8/10/2015

FINRA

Current Firm

EATON VANCE MANAGEMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EATON VANCE MANAGEMENT

TRUST BUT VERIFY

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