Paul D. Graffy
Professional summary
Paul Donald Graffy is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in Homer Glen, Illinois and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Paul has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Paul Donald Graffy's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 23, 2021 - Present
IP FINANCIAL ADVISORY SERVICES LLC
July 23, 2021 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210May 20, 2016 - December 11, 2019
ADVISORY RESEARCH INC
May 20, 2016 - October 7, 2019
PIPER SANDLER & CO.
March 31, 2015 - May 11, 2015
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
February 20, 2015 - May 13, 2015
NORTHERN LIGHTS DISTRIBUTORS, LLC
November 7, 2013 - January 3, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 5, 2013 - January 3, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 17, 2005 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
August 17, 2005 - December 12, 2011
MANULIFE INVESTMENT MANAGEMENT (US) LLC
May 13, 2005 - November 29, 2011
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
November 4, 1997 - March 22, 2005
MFS FUND DISTRIBUTORS, INC.
February 13, 1997 - July 15, 1997
VP DISTRIBUTORS LLC
September 12, 1995 - February 12, 1997
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
February 9, 1989 - July 21, 1995
DELAWARE DISTRIBUTORS, L.P.
January 21, 1988 - January 18, 1989
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
March 22, 1984 - December 5, 1986
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/23/2021)
(7/23/2021)
Exams
FINRA
Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
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.
