Robert J. Graham

RIGGS ASSET MANAGEMENT CO

Dallas, PA 18612

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CRD#: 1068010

Professional summary

Robert Joseph Graham is a registered financial advisor currently at RIGGS ASSET MANAGEMENT CO INC located in Dallas, Pennsylvania.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Robert has worked at 4 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 53 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Graham's CRS (Customer Relationship Summary).

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

April 29, 1991 - Present

RIGGS ASSET MANAGEMENT CO INC

Office #1: The Grand Highlands Two Newberry Estates, Dallas, PA 18612

RIA

CRD#: 107233

Dallas, PA

Past

June 15, 1989 - September 5, 1995

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

December 1, 1986 - June 26, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 20, 1982 - December 12, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

RIGGS ASSET MANAGEMENT CO INC

CRD#: 107233 / SEC#: 801-38171

RIA

Registered Investment Advisory firm - (1/25/1991 Approved)

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

North Carolina
(10/15/2013)

IAR

Pennsylvania
(4/29/1991)

IAR

Texas
(5/8/2006)

IAR

Virginia
(8/22/1995)

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: 1/17/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/9/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/8/1993

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/24/1991

General Securities Principal Examination

Current Firm

RIGGS ASSET MANAGEMENT CO INC

CRD#: 107233 / SEC#: 801-38171

RIA

Registered Investment Advisory firm - (1/25/1991 Approved)

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Contact information

Main Address

The Grand Highlands Two Newberry Estates, Dallas, PA 18612

Mailing Address

Phone number

(570) 823-3383

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE JUNE 2025 (6/4/2025)

ADV PART 2A BROCHURE DECEMBER 2024 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	855
AUM (Assets Under Management)	$ 522,481,400

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
07/19/2024	Cover Page	Report
08/31/2023	Cover Page	Report
02/23/2023	Cover Page	Report

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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Robert J. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Graham's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT THOMAS SECURITIES, INC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RIGGS ASSET MANAGEMENT CO INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/1991

Series 63

Date: 10/20/1982

Series 5

Date: 12/9/1982

Series 7

Date: 10/16/1982

Series 53

Date: 11/8/1993

Series 24

Date: 9/24/1991

Current Firm

RIGGS ASSET MANAGEMENT CO INC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RIGGS ASSET MANAGEMENT CO INC

TRUST BUT VERIFY

Contact information

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