Austin Griffie has been an investment adviser representative at Zermatt Wealth Partners since April 2026, and is not listed among the firm’s executive officers or direct owners.
Zermatt Wealth Partners LLC is a San Diego, CA firm with $158M under management, 211 clients and 4 advisers across 2 offices, as of its July 2026 filing.
Austin Griffie is a Senior Wealth Partner at Zermatt Wealth Partners. He works with business owners, entrepreneurs and families on wealth management, with an emphasis on tax efficiency, liquidity events, business exits and long-term capital strategy, and is involved in the firm's growth initiatives. Before joining Zermatt, he built his career at Merrill Lynch and Raymond James.
Austin Griffie’s longest registration was 2 years at Raymond James & Associates, Inc. (2023–2026). Before joining Zermatt Wealth Partners in 2026, Austin Griffie was registered through Raymond James & Associates, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Zermatt Wealth PartnersCurrent– present · under a yearWilmington, NC · Adviser representative · Firm CRD 105736
- Raymond James & Associates, Inc.– · 2 yearsWilmington, NC · Adviser representative · Firm CRD 705
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 1 yearWilmington, NC · Adviser representative · Firm CRD 7691
Professional designations
Listed by Zermatt Wealth Partners
- Chartered Retirement Planning Counselor (CRPC)
- Accredited Asset Management Specialist (AAMS)
Investment adviser representative registrations
Austin Griffie is registered as an investment adviser representative in North Carolina, since April 2026.
- North CarolinaSince 21 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 23 June 2022 |
| Series 7TO | General Securities Representative Examination | 7 May 2022 |
| SIE | Securities Industry Essentials Examination | 25 September 2020 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Austin Joseph Griffie
- CRD
- 7020479
- Firm
- Zermatt Wealth Partners · CRD 105736
- Office
- 1427 Military Cutoff Rd, Suite 206, Wilmington, NC 28403
- Registration
- Investment adviser registration
- In the industry since
- May 2022
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- zermattwealthpartners.com
Where does Austin Griffie work?
Austin Griffie is an investment adviser representative registered through Zermatt Wealth Partners LLC since April 2026, and is not listed among the firm’s executive officers or direct owners.
Is Austin Griffie a financial advisor?
Yes. Austin Griffie has a current investment-adviser registration in North Carolina, through Zermatt Wealth Partners since April 2026.
How many years of experience does Austin Griffie have?
Austin Griffie has 4 years in the financial industry, since May 2022, across 3 adviser firms.
What exams has Austin Griffie passed?
Austin Griffie has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in September 2020.
Where did Austin Griffie work before Zermatt Wealth Partners?
Before Zermatt Wealth Partners, Austin Griffie was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, June 2022 to October 2023.
Where is Austin Griffie based?
Austin Griffie’s registered office is in Wilmington, NC.
Is Austin Griffie registered with FINRA?
No. Austin Griffie has no current broker registration.
How can I verify Austin Griffie’s record?
Search CRD 7020479 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Austin Griffie’s full registration record.
- David HarrisPresident
- David WhiteChief Compliance Officer
- Louis DworskyCEO