AG
Anthony D. Griffin
SYMPHONY FINANCIAL, LTD. CO.
Kingwood, TX 77339
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CRD#: 6690807
AG
Professional summary
Anthony Dwayne Griffin, who also goes by Tony Griffin, is a registered financial advisor currently at SYMPHONY FINANCIAL, LTD. CO. located in Kingwood, Texas.
Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Anthony has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony Griffin
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.
1. 07/03/2017 - SHANK WEALTH MANAGEMENT LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 50%/ KINGWOOD, TX
2) 07/05/2017-Symphony Financial, LTD. CO.-investment related- At reported business location(s)- Registered Investment Advisor Hybrid-IAR- start 06/05/2017-Hours per month 20/ hours during trading 1- Time spent percent 10%-I provide investment advisory services through Symphony Financial, LTD. CO., an independent investment advisor firm. I started this business activity in 06/2017. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Dwayne Griffin's 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®
NoneExperience
Current
July 3, 2017 - Present
SYMPHONY FINANCIAL, LTD. CO.
Office #1: 2627 Chestnut Ridge Rd Suite 110, Kingwood, TX 77339RIA
CRD#: 171816
Kingwood, TX
Past
July 3, 2017 - May 16, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
KINGWOOD, TX
Past
December 2, 2016 - April 12, 2017
EDWARD JONES
RIA
CRD#: 250
KINGWOOD, TX
Past
September 14, 2016 - April 12, 2017
EDWARD JONES
BD
CRD#: 250
KINGWOOD, TX
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".
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 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.Highlighted states indicate IAR registrations
IAR
Texas(7/3/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4295 San Felipe Suite 300, Houston, TX 77027
Mailing Address
Phone number
(281) 272-6800
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,324 |
| AUM (Assets Under Management) | $ 1,093,185,695 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SYMPHONY FINANCIAL, LTD. CO.
CRD#: 171816Kingwood, TX 77339TRUST BUT VERIFY
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