Alexander S. Graham

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CRD#: 1008351

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alexander Stewart Graham, who also goes by Alec Graham, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 1981. Alexander had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alec Graham

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 28, 2003 - October 23, 2006

HILLMAN CAPITAL MANAGEMENT INC

RIA

CRD#: 110096

ANNAPOLIS, MD

Past

November 10, 1994 - December 10, 2019

BALTIMORE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 109949

BALTIMORE, MD

Past

October 19, 1994 - December 31, 2005

ARMATA PARTNERS, L.P.

CRD#: 30989

BALTIMORE, MD

Past

March 18, 1982 - October 4, 1994

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

November 1, 1981 - March 30, 1982

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HILLMAN CAPITAL MANAGEMENT INC

CRD#: 110096 / SEC#: 801-57921

RIA

Registered Investment Advisory firm - (9/12/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/10/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/1/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

Current Firm

HILLMAN CAPITAL MANAGEMENT INC

CRD#: 110096 / SEC#: 801-57921

RIA

Registered Investment Advisory firm - (9/12/2000 Approved)

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Contact information

Main Address

7255 Woodmont Avenue Suite 260, Bethesda, MD 20814

Mailing Address

Phone number

(240) 744-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HCM FORM ADV PART 2A AND 2B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 308,016,202

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Alexander S. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HILLMAN CAPITAL MANAGEMENT INC

BALTIMORE CAPITAL MANAGEMENT, INC.

ARMATA PARTNERS, L.P.

ALEX. BROWN & SONS INCORPORATED

H.C.WAINWRIGHT & CO., LLC

Primary Firm SEC Registration

HILLMAN CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/10/1994

Series 63

Date: 3/1/1982

Series 7

Date: 6/20/1981

Current Firm

HILLMAN CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLMAN CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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