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Carol Griffin

Parsonex Advisory Services, INC.
22 Years of Experience
Englewood, CO
1 DisclosureBrokerSells Insurance
View SEC Summary
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Carol Griffin is a registered investment advisor at Parsonex Advisory Services, INC., based in Englewood, CO, with 22 years of industry experience. Carol is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 1 more. Their firm serves 331 clients with $270M in assets under management.

Parsonex Advisory Services, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12 advisors
Number of Clients
331 clients
Average Client Portfolio
$820K average
Assets Under Management
$271.3M

Fee Structure

Minimum Investment:$100K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $3.0M0.80%
$3.0M - $5.0M0.60%
$5M+0.40%

Annual fees are negotiable at the discretion of the advisor. Additional transaction, custody, money manager, and platform fees may apply.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

8310 S. Valley Highway, Suite 110, Englewood, CO, 80112

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
July 2007
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Carol is an investment advisor representative with Parsonex Advisory Services, dedicating about a quarter of her time. She also works as an insurance agent for Back 9 Insurance, selling insurance products and spending a few hours per week. Carol also spends minimal time as a group leader for a local networking group and assisting with client referrals for living trust needs.

Employment History
Current Registrations
Parsonex Advisory Services, INC.
January 2021 - Present · 5 yrs 9 mos
Parsonex Securities, INC.Broker
December 2007 - Present · 18 yrs 10 mos
Previous Registrations
Parsonex Advisory Services, INC.
March 2017 - December 2020 · 3 yrs 9 mos
C C F Investments, INC.Broker
January 2006 - July 2007 · 1 yr 6 mos
The Leaders Group, INC.Broker
February 2005 - December 2005 · 10 mos
PFS Investments INC.Broker
May 2003 - February 2005 · 1 yr 9 mos
State Registrations21 states
AZCACOFLHIIAILKYMDMINJNMNVOHOKPASDTNWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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