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Inactive

Brian Joseph Griffin

Friday Financial

Dubuque, IA

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Current Employers
Friday Financial

600 Star Brewery Drive Suite 400, Dubuque, IA 52001 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-02-16
  • IA RA
    APPROVED
    Since 2024-02-16

Branch Locations

600 Star Brewery Drive Suite 400, Dubuque, IA 52001 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Proequities, Inc. Dubuque IA 09/2016 09/2020
Honkamp Krueger Financial Services Inc Dubuque IA 09/2016 06/2020
Regions Hospital Woodbury MN 07/2006 09/2016
Avantax Investment Services, Inc. Dubuque IA 07/2020 06/2023
Friday Financial, Llc Dubuque IA 01/2024 Present
Unemployed Dubuque IA 06/2023 12/2023
  • 09/2016 → 09/2020
    Proequities, Inc.
    Dubuque, IA
  • 09/2016 → 06/2020
    Honkamp Krueger Financial Services Inc
    Dubuque, IA
  • 07/2006 → 09/2016
    Regions Hospital
    Woodbury, MN
  • 07/2020 → 06/2023
    Avantax Investment Services, Inc.
    Dubuque, IA
  • 01/2024 → Present
    Friday Financial, Llc
    Dubuque, IA
  • 06/2023 → 12/2023
    Unemployed
    Dubuque, IA
Previous Registrations
  • 2016-12-12 → 2023-06-15
    Avantax Planning Partners, Inc.
    Dubuque, IA
    Dubuque, IA
  • 2016-12-12 → 2016-12-21
    Concourse Financial Group Securities, Inc.
    Dubuque, IA
    Birmingham, AL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-12
  • S66 Uniform Combined State Law Examination
    2016-12-12
Other Names
  • Brian Griffin

View on SEC IAPD

Other Firms

NATIONS FINANCIAL GROUP, INC.
AVANTAX PLANNING PARTNERS, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
ROSEMEYER MANAGEMENT GROUP
RICHMOND INVESTMENT SERVICES LLC
LPL FINANCIAL LLC
UMB PRIVATE WEALTH MANAGEMENT, LLC
MARINER INDEPENDENT

Other Investors

CHAD JOSEPH KRUSE
ROBERT EMMETT LEE
SAWYER MARQUARDT
KEVIN MICHAEL DIETZEL
WYATT KELLY
JOSEPH CONSTANTINE BERNARDI
Terry B Brown
Michael R Ziembo

Other Offices

NATIONS FINANCIAL GROUP, INC. · Dubuque, IA
AVANTAX PLANNING PARTNERS, INC. · DUBUQUE, IA
STATE FARM INVESTMENT MANAGEMENT CORP. · Dubuque, IA
ROSEMEYER MANAGEMENT GROUP · Dubuque, IA
RICHMOND INVESTMENT SERVICES LLC · Dubuque, IA
LPL FINANCIAL LLC · DUBUQUE, IA
UMB PRIVATE WEALTH MANAGEMENT, LLC · Dubuque, IA
MARINER INDEPENDENT · Dubuque, IA

More in Dubuque, IA

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