Brian Griffin has been Wealth Manager, Co- Founder, Chief Compliance Officer of Friday Financial since January 2024, is a control person of the firm and directly owns between 25% and 50% of it.
Friday Financial, Inc. is a Dubuque, IA firm with $409M under management, 289 clients and 6 advisers in one office, as of its August 2026 filing.
Brian Griffin is Co-Founder and Wealth Advisor of Friday Financial. He has spent the last decade working with clients in the financial services industry. As a wealth manager and retirement plan consultant, he is responsible for creating and maintaining customized financial plans.
Brian Griffin’s longest registration was 6 years at Avantax Planning Partners, Inc. (2016–2023). Before joining Friday Financial in 2024, Brian Griffin was registered through Avantax Planning Partners, Inc. and Investment Advisors.
- Avantax Planning Partners, Inc.– · 6 yearsDubuque, IA · Adviser representative · Firm CRD 106237
- Investment Advisors– · under a yearDubuque, IA · Adviser representative · Firm CRD 15708
Investment adviser representative registrations
Brian Griffin is registered as an investment adviser representative in Iowa, since February 2024.
- IowaSince 16 February 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 12 December 2016 |
| Series 7 | General Securities Representative Examination | 24 October 2016 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Brian Joseph Griffin
- CRD
- 6713626
- Firm
- Friday Financial · CRD 329748
- Role
- Wealth Manager, Co- Founder, Chief Compliance Officer
- Office
- 600 STAR BREWERY DRIVE, SUITE 400, Dubuque, IA 52001
- Registration
- Investment adviser registration
- In the industry since
- June 2017
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- fridayfi.com
Where does Brian Griffin work?
Brian Griffin has been Wealth Manager, Co- Founder, Chief Compliance Officer of Friday Financial, Inc. since January 2024, and is a control person of the firm.
Is Brian Griffin a financial advisor?
Yes. Brian Griffin has a current investment-adviser registration in Iowa, through Friday Financial since February 2024.
How many years of experience does Brian Griffin have?
Brian Griffin has 9 years in the financial industry, since June 2017, across 3 adviser firms.
What exams has Brian Griffin passed?
Brian Griffin has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in October 2016. FINRA credited Brian Griffin with the SIE, which began in October 2018.
Where did Brian Griffin work before Friday Financial?
Before Friday Financial, Brian Griffin was registered through Avantax Planning Partners, Inc., December 2016 to June 2023; Investment Advisors, December 2016 to December 2016.
Where is Brian Griffin based?
Brian Griffin’s registered office is in Dubuque, IA.
Is Brian Griffin registered with FINRA?
No. Brian Griffin has no current broker registration.
How can I verify Brian Griffin’s record?
Search CRD 6713626 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Brian Griffin’s full registration record.
