Katherine Marie Griffin

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2015 → 02/2021
  Andrea Riley Arnesen-Amerprise Financial
  Nashua, NH
• 02/2021 → 07/2021
  Waddell & Reed Inc
  Portsmouth, NH
• 02/2021 → 07/2021
  Various Insurance Carriers For W & R Insurance Agencies
  Nashua, NH
• 02/2021 → 07/2021
  Helena Mahoney
  Portsmouth, NH
• 07/2021 → Present
  Lpl Financial Llc
  Portsmouth, NH

Previous Registrations

• 2021-05-03 → 2021-07-21
  Waddell & Reed
  Hamden, CT
  Portsmouth, NH
• 2015-12-02 → 2017-12-31
  Ameriprise Financial Services, Llc
  Nashua, NH
• 2013-07-22 → 2015-10-28
  Waddell & Reed
  Portsmouth, NH
  Portsmouth, NH

Other Businesses

1) 5/2017 - Blue Granite Financial / DBA for LPL Business (entity for LPL business) / Investment Related / 0HR / MO / 75 Portsmouth Blvd., Ste. 120A, Portsmouth, 03801

Exams

• S66 Uniform Combined State Law Examination
  2021-05-03

Other Names

• Katherine Marie Sullivan
• Katherine Marie Griffin
• Katherine Marie Sullivan
• Kate Marie Griffin