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Griffin Kinzie

Barclays Capital Inc.

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About Griffin Kinzie

Griffin Kinzie is a financial professional with over 10 years of experience in the financial services industry. Griffin is currently registered with Barclays Capital Inc. and has a Series 7, 6, 63, and 79TO license. Griffin has previously worked for Guggenheim Funds Distributors, LLC and JPMorgan Distribution Services, Inc. Griffin holds a Series 65 license and has been active in the industry since 2013.

Firm Information

Griffin Kinzie is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Griffin Kinzie’s Registration & Firm History

IL

07/24/2023 - Present

Barclays Capital Inc. (CHICAGO IL)

IL

03/31/2014 - 06/08/2022

GUGGENHEIM FUNDS DISTRIBUTORS, LLC (CHICAGO IL)

OH

09/26/2012 - 03/21/2014

JPMORGAN DISTRIBUTION SERVICES, INC. (WESTERVILLE OH)

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Licenses & Designations

IA

Issued 10/06/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/07/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/11/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/18/2013

Series 7 - General Securities Representative Examination

BC

Issued 09/25/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Griffin Kinzie.
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