George R. 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.
George Richard Graham, who also goes by Dick Graham, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1982. George had worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2010 - March 1, 2013
AMERICAN INVESTORS COMPANY
May 12, 2010 - March 1, 2013
AMERICAN INVESTORS COMPANY
October 13, 2008 - May 18, 2010
NEW ENGLAND SECURITIES
September 8, 2008 - May 18, 2010
NEW ENGLAND SECURITIES
November 18, 2003 - September 18, 2008
WOODBURY FINANCIAL SERVICES, INC.
January 13, 2003 - October 29, 2003
PENSION PLANNERS SECURITIES, INC.
December 7, 1995 - December 18, 2002
WOODBURY FINANCIAL SERVICES, INC.
June 5, 1985 - June 17, 1988
SOARES FINANCIAL GROUP, INC.
June 29, 1983 - May 30, 1985
CONSOLIDATED INVESTMENT SERVICES, INC.
February 2, 1982 - June 30, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
