Don C. Graeter

GRAETER WEALTH ADVISORS

LOUISVILLE, KY 40207

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CRD#: 1064731

Professional summary

Don Carlos Graeter is a registered financial advisor currently at GRAETER WEALTH ADVISORS, LLC located in Louisville, Kentucky.

Don is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Don has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Mr. Graeter is a Professor during the Spring Semester of the academic calendar at Bellarmine University located at 2001 Newburg Rd, Louisville, KY 40205. During the Spring Semester, Mr. Graeter spends approximately 24 hours on this activity per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Don Carlos Graeter's CRS (Customer Relationship Summary).

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

Current

October 22, 2014 - Present

GRAETER WEALTH ADVISORS, LLC

Office #1: 4360 Brownsboro Road Suite 211, Louisville, KY 40207

RIA

CRD#: 170046

LOUISVILLE, KY

Past

January 2, 2009 - April 1, 2014

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

LOUISVILLE, KY

Past

August 9, 2006 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

LOUISVILLE, KY

Past

July 28, 2006 - April 1, 2014

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LOUISVILLE, KY

Past

January 7, 2004 - August 7, 2006

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

LOUISVILLE, KY

Past

September 24, 1982 - August 7, 2006

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Kentucky
(10/22/2014)

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: 12/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/11/1983

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

GRAETER WEALTH ADVISORS, LLC

CRD#: 170046 / SEC#: 801-79317

RIA

Registered Investment Advisory firm - (10/10/2014 Terminated)

Kentucky

Registered Investment Advisory firm - (10/9/2014 Approved)

Texas

Registered Investment Advisory firm - (3/11/2016 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4360 Brownsboro Road Suite 211, Louisville, KY 40207

Mailing Address

Phone number

(502) 625-1996

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	281
AUM (Assets Under Management)	$ 89,958,899

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.

Contact information

xxxxx@xxxx.xxx

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CERITY PARTNERS LLC

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Advisor Monitoring

Firm Stability Insights

Don C. Graeter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Don Carlos Graeter's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/1999

Series 63

Date: 11/19/1982

Series 7

Date: 9/18/1982

Series 8

Date: 2/11/1983

Current Firm

GRAETER WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GRAETER WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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