Casey Griffin, Vice President, Compliance

 

Casey Griffin is Vice President and Chief Compliance Officer of Avantax Investment Services℠ and Avantax Advisory Services℠. He has more than 22 years of financial services industry experience deeply rooted in Compliance governance, surveillance and supervision, risk management, technology, regulatory oversight, and providing guidance of corporate strategy.

Casey is responsible for the execution of each firm’s Compliance and Supervisory programs, ensuring overall compliance with applicable securities regulations as determined by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state securities commissions and various other regulatory bodies. He leads a team of more than 65 Compliance and Supervisory specialists empowered to help Financial Professionals adhere to policies and procedures that are reasonably designed to achieve continued compliance with applicable laws and regulations.

Casey holds a Bachelor of Business Administration from the University of North Texas, and he holds Series 7, 63, 65, 24, 4 and 53 securities registrations.