Robert V. Graham
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.
Robert Vincent Graham, who also goes by Bob Graham, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2017 - December 31, 2020
SECURIAN FINANCIAL SERVICES, INC.
February 1, 2017 - December 31, 2020
SECURIAN FINANCIAL SERVICES, INC.
January 2, 2015 - January 31, 2017
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - January 31, 2017
MSI FINANCIAL SERVICES, INC.
July 11, 2000 - January 2, 2015
NEW ENGLAND SECURITIES
July 11, 2000 - January 2, 2015
NEW ENGLAND SECURITIES
November 7, 1991 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 7, 1991 - July 6, 2000
EQUITABLE ADVISORS, LLC
May 21, 1991 - November 14, 1991
PRUDENTIAL EQUITY GROUP, LLC
November 26, 1981 - October 29, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 26, 1981 - October 29, 1990
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
