Robert M. 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.
Robert Michael Graham, who also goes by Bob Graham, Robert M Graham, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 9 firms and has passed the Series 63, Series 7, Series 27 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
June 11, 2013 - August 19, 2013
COREBRIDGE CAPITAL SERVICES, INC.
November 20, 2003 - August 21, 2013
AMERICAN GENERAL EQUITY SERVICES CORPORATION
December 23, 1998 - April 7, 2003
PINEBRIDGE SECURITIES LLC
February 18, 1992 - March 23, 1998
ESSEX NATIONAL SECURITIES, LLC
July 17, 1989 - January 8, 1991
USF&G INVESTMENT SERVICES, INC.
July 22, 1988 - June 13, 1989
UNITED PACIFIC FINANCIAL SERVICES, INC.
February 24, 1986 - February 6, 1987
CITISTREET EQUITIES LLC
August 3, 1983 - February 18, 1986
CADARET, GRANT & CO., INC.
July 17, 1983 - August 10, 1983
NATIONWIDE SECURITIES, LLC
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
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
