Thomas R. Graffeo
DOVE INVESTMENT RESEARCH AND MANAGEMENT
Irvine, CA 92618
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CRD#: 1287916
Professional summary
Thomas Robert Graffeo JR, CFP®, CIMA®, who also goes by Thomas Robert Graffeo, is a registered financial advisor currently at DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC. located in Irvine, California and LPL FINANCIAL LLC located in Irvine, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Tax Planning
Comprehensive Financial Planni...
Investment Planning
Insurance Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Thomas Robert Graffeo
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.
1. 5/17/2016 - Dove Investment Research and Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/16/2016 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 1/10/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/07/2018 - 3 Hours Per Month/0 Hours During Securities Trading. 3. 5/1/2019 - Dove Investment Research and Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 01/14/2019 - 10-20 Hours Per Month/5-10 Hours During Securities Trading - I provide investment advisory services through Dove Investment Research and Management, an independent investment advisor firm. I started this business activity in 01/2019. I expect to spend approximately 10-20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 7/12/2021 - Dove Investment Research and Management - DBA: Dove Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/01/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Dove Investments as short for Dove Investment Research and Management. 5. 09/28/2023 - Thomas Graffeo - Business Owner - Land Owner - Not Investment Related - Draper, UT - Start Date 09/15/2023 - 5 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Robert Graffeo JR'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®
CFP®
Start date: 2001
Experience
Current
May 22, 2019 - Present
DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC.
Office #1: 100 Pacifica Suite 370, Irvine, CA 92618RIA
CRD#: 300058
Irvine, CA
Current
January 2, 2009 - Present
LPL FINANCIAL LLC
Office #1: 100 Pacifica Suite 370, Irvine, CA 92618-7449RIA
BD
CRD#: 6413
Irvine, CA
Past
December 10, 2009 - July 6, 2016
APPLIED FINANCIAL PLANNING, INC.
RIA
CRD#: 136834
IRVINE, CA
Past
January 2, 2009 - October 9, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
IRVINE, CA
Past
April 7, 2008 - November 5, 2008
VOYA INVESTMENT MANAGEMENT CO. LLC
RIA
CRD#: 106494
NEW YORK, NY
Past
December 4, 2007 - November 5, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
WINDSOR, CT
Past
September 10, 2002 - December 11, 2007
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
July 23, 1999 - December 18, 2001
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
November 12, 1998 - March 9, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 8, 1998 - May 19, 1999
TOUCHSTONE SECURITIES, INC.
BD
CRD#: 1526
CINCINNATI, OH
Past
September 4, 1996 - August 1, 1997
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
May 30, 1992 - September 6, 1996
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
January 15, 1991 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
August 14, 1989 - January 9, 1991
GRIFFIN FINANCIAL SERVICES
BD
CRD#: 10823
Past
June 24, 1986 - August 16, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/13/2015)
RR
California(1/2/2009)
IAR
California(5/22/2019)
RR
Colorado(5/22/2013)
RR
Florida(5/24/2013)
RR
Georgia(2/6/2023)
RR
Hawaii(3/18/2015)
RR
Idaho(12/22/2020)
IAR
Idaho(8/5/2024)
RR
Illinois(3/30/2017)
RR
Maryland(6/25/2014)
RR
Missouri(10/18/2021)
RR
Montana(5/21/2013)
RR
Nevada(11/8/2018)
RR
Ohio(4/3/2013)
RR
Oregon(5/23/2013)
RR
South Carolina(5/23/2014)
RR
Texas(5/29/2013)
IAR
Texas(1/21/2020)
RR
Utah(2/9/2023)
IAR
Utah(6/6/2023)
RR
Virginia(9/5/2024)
RR
Washington(7/3/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DI
DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC.
DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC.
CRD#: 300058 / SEC#:
California
Registered Investment Advisory firm - (5/22/2019 Approved)Idaho
Registered Investment Advisory firm - (8/2/2024 Approved)Texas
Registered Investment Advisory firm - (1/15/2020 Conditional Restricted)Utah
Registered Investment Advisory firm - (6/6/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Pacifica Suite 370, Irvine, CA 92618
Mailing Address
Phone number
(949) 276-5800
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 413 |
| AUM (Assets Under Management) | $ 90,562,704 |
Red Flags
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Company Information
DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC.
CRD#: 300058Irvine, CA 92618TRUST BUT VERIFY
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Contact information
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