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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

Hayes Patrick Griffin

Advisor at CETERA INVESTMENT ADVISERS LLC

EL SEGUNDO, CA | Vista, CA

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Search this name across graphsid dfx:ria:1aec2d1e-9193-635a-67c4-fa00f56c7ada

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 2, 2019 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 27, 2019
First registration: Dec 2, 2019
Dual registered: yes, broker-dealer
IAPD individual key: 4859510

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jul 13, 2026	n/a	yes	Vista, CA\| EL SEGUNDO, CA	Current employment
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Oct 6, 2020	Jun 29, 2026	no	Boca Raton, FL\|Boca Raton, FL\|Vista, CA	Previous registration
CAPITAL ANALYSTS	Bd affiliated wealth	Jul 22, 2020	Sep 23, 2020	no	Jupiter, FL	Previous registration
LINCOLN INVESTMENT	Independent wealth	Jul 20, 2020	Sep 23, 2020	no	Union, KY\|Jupiter, FL\|Scottsdale, AZ	Previous registration
EDWARD JONES	National bd RIA	Dec 2, 2019	Dec 24, 2019	no	JUPITER, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVISORS ASSET MANAGEMENT, INC.	CETERA INVESTMENT ADVISERS LLC	Jun 29, 2026	Jul 13, 2026	14	Firm change	RIA to ibd
CAPITAL ANALYSTS	ADVISORS ASSET MANAGEMENT, INC.	Sep 23, 2020	Oct 6, 2020	13	Firm change	Other
LINCOLN INVESTMENT	CAPITAL ANALYSTS	Sep 23, 2020	Jul 22, 2020	-63	Firm change after gap	Ibd to ibd
EDWARD JONES	LINCOLN INVESTMENT	Dec 24, 2019	Jul 20, 2020	209	Firm change	Ibd to ibd

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jul 13, 2026 to presentfactForm ADV
→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 6, 2020 to Jun 29, 2026factForm ADV
→ CAPITAL ANALYSTSRegistered adviserregistration: previous registration
Jul 22, 2020 to Sep 23, 2020factForm ADV
→ LINCOLN INVESTMENTRegistered adviserregistration: previous registration
Jul 20, 2020 to Sep 23, 2020factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Dec 2, 2019 to Dec 24, 2019factForm ADV

Dated events

Occurred
Jun 29, 2026
Advisor changed firm
Hayes Patrick Griffin left Advisors Asset Management, Inc. for Cetera Investment Advisers Llc (registered 2026-07-13)
Form ADVobserved 4 days ago