Casey Griffin

Mr. Griffin is the chief compliance officer for HD Vest Investment ServicesSM (HDVIS) and HD Vest Advisory ServicesSM, Inc (HDVAS).

He has been with the firm since August 1998 and is responsible for both firms’ overall compliance with the 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 has held various supervisory positions at the firm, including oversight of the sales supervision area and the senior compliance manager of the surveillance area.

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