Gary S. Graessle
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.
Gary Stephen Graessle, who also goes by Gary S Graessle, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 3 firms and has passed the Series 66, Series 3, Series 15, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2011 - June 1, 2021
AWM GLOBAL ADVISORS
March 8, 2010 - December 5, 2011
UBS FINANCIAL SERVICES INC.
March 4, 2010 - December 5, 2011
UBS FINANCIAL SERVICES INC.
September 23, 2009 - March 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 2009 - March 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1982 - July 25, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 1982 - May 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
AWM GLOBAL ADVISORS
CRD#: 159094 / SEC#: 801-72824
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
Series 15
Date: 5/4/1984
Foreign Currency Options ExaminationSeries 8
Date: 7/17/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AWM GLOBAL ADVISORS
CRD#: 159094 / SEC#: 801-72824
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 143 |
| AUM (Assets Under Management) | $ 90,545,310 |
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.
