Kristin Leigh Griffin
Investment Adviser Representative at 49 Financial
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Kristin Leigh Griffin is an investment adviser representative with 49 Financial in Round Rock, TX, where they have been registered since 2023. They have worked in the securities industry since 2019 and were previously registered with Thrivent Advisor Network, LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Texas.
Office
Advisors at this office: 47
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas
- Broker:
21 states and territories
Alabama, Arkansas, California, Florida, Georgia, Illinois, Indiana, Kansas, Louisiana, Maryland, Minnesota, Mississippi, Missouri, New Jersey, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Texas, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Texas A&m UniversityAug 2015 – Aug 2019College Station, TX
- Texas A&m AthleticsJul 2018 – Sep 2018College Station, TX
- PricewaterhousecoopersJan 2018 – Mar 2018Houston, TX
- AXA Advisors, LLCJul 2019 – Nov 2019New York, NY
- Purshe Kaplan Sterling Inestments, IncNov 2019 – Jan 2024Albany, NY
- Thrivent Advisor Network, LLCJun 2020 – Dec 2022Austin, TX
- 49 Wealth Management LLCJan 2023 – no end date reportedAustin, TX
- Oakwood Capital Securities, Inc.Jan 2024 – no end date reportedAustin, TX
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About 49 Financial
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
- Firm account minimum
- $25,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 138
- Offices listed on AdvisorFinder:
- 10
- Main office:
- Austin, TX
- SEC file number:
- 801-123687
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 22, 2026
View full firm profileOther advisors at 49 Financial
Showing 12 of 138 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kristin Leigh Griffin has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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