Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Casey? Claim Your ProfileCasey James Griffin is a financial advisor with over 23 years of experience in the financial services industry. Casey is a Registered Representative and Investment Advisor Representative with Cetera Investment Advisers LLC and has experience in both the brokerage and investment advisory fields. Casey holds a Series 7, Series 63, Series 65, Series 24, Series 52, and Series 53 licenses and has a strong background in wealth management, financial planning, and investment management. Casey has worked at a variety of firms throughout their career, including AVANTax Investment Services, Inc. and Cetera Financial Specialists LLC. Casey is currently licensed in Texas and is committed to providing clients with personalized financial advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
TX
04/22/2021 - Present
Cetera Investment Advisers LLC (SOUTHLAKE TX)
TX
01/28/1999 - 04/09/2021
AVANTAX INVESTMENT SERVICES, INC. (DALLAS TX)
IA
Issued 5/4/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 14 - Compliance Officer Examination
BC
Issued 5/26/2000
Series 4 - Registered Options Principal Examination
BC
Issued 12/20/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 4/19/1999
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/8/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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