Brian J. Griffin

FRIDAY FINANCIAL

Dubuque, IA 52001

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CRD#: 6713626

Professional summary

Brian Joseph Griffin, who also goes by Brian Griffin, is a registered financial advisor currently at FRIDAY FINANCIAL located in Dubuque, Iowa.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Brian has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian 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.

HONKAMP KRUEGER FINANCIAL SERVICE POSITION: Financial Analyst NATURE: Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/06/2016 ADDRESS: 3390 Asbury Road, Dubuque IA 52002 DESCRIPTION: Financial Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph 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

February 16, 2024 - Present

FRIDAY FINANCIAL

Office #1: 600 Star Brewery Drive Suite 400, Dubuque, IA 52001

RIA

CRD#: 329748

Dubuque, IA

Past

September 30, 2020 - June 15, 2023

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DUBUQUE, IA

Past

December 12, 2016 - December 21, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

DUBUQUE, IA

Past

December 12, 2016 - June 15, 2023

AVANTAX PLANNING PARTNERS, INC.

RIA

CRD#: 106237

DUBUQUE, IA

Past

October 24, 2016 - September 30, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

DUBUQUE, IA

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".

FRIDAY FINANCIAL

FRIDAY FINANCIAL | FRIDAY FINANCIAL, INC.

CRD#: 329748 / SEC#: 801-129486

RIA

Registered Investment Advisory firm - (2/9/2024 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

Iowa
(2/16/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/12/2016

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: 10/24/2016

General Securities Representative Examination

Current Firm

FRIDAY FINANCIAL

FRIDAY FINANCIAL | FRIDAY FINANCIAL, INC.

CRD#: 329748 / SEC#: 801-129486

RIA

Registered Investment Advisory firm - (2/9/2024 Approved)

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Contact information

Main Address

600 Star Brewery Drive Suite 400, Dubuque, IA 52001

Mailing Address

Phone number

(563) 552-7526

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FRIDAY FINANCIAL FORM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	524
AUM (Assets Under Management)	$ 210,503,367

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

Brian J. Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Griffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVANTAX INVESTMENT SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AVANTAX PLANNING PARTNERS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

FRIDAY FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2016

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2016

Current Firm

FRIDAY FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FRIDAY FINANCIAL

TRUST BUT VERIFY

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