Roger E. 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.
Roger Evans Graham was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1982. Roger had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2006 - February 25, 2020
GROVE POINT INVESTMENTS, LLC
August 25, 2006 - February 25, 2020
GROVE POINT INVESTMENTS, LLC
July 23, 2004 - August 25, 2006
WALL STREET FINANCIAL GROUP, INC.
May 12, 2003 - August 25, 2006
WALL STREET FINANCIAL GROUP, INC.
August 22, 1990 - May 14, 2003
FFP SECURITIES, INC.
February 18, 1983 - August 31, 1990
OSAIC FS, INC.
May 26, 1982 - March 4, 1983
INVESTMENT ASSOCIATES, INC.
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
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
