Robert G. Graw
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 Gene Graw was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 18 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1997 - September 20, 1997
MONEY CONCEPTS CAPITAL CORP
July 19, 1996 - September 26, 1996
LEGACY FINANCIAL SERVICES, INC.
March 5, 1994 - January 26, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 5, 1994 - January 26, 1996
SIGNATOR INVESTORS, INC.
August 25, 1992 - January 14, 1994
MML INVESTORS SERVICES, LLC
February 11, 1992 - April 8, 1992
JOSEPHTHAL & CO., INC.
March 31, 1989 - September 11, 1990
MUTUAL SERVICE CORPORATION
November 23, 1988 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
November 2, 1988 - November 28, 1988
PALM BEACH FINANCIAL, INC.
September 29, 1988 - November 12, 1988
METROPOLITAN LIFE INSURANCE COMPANY
September 29, 1988 - November 12, 1988
MSI FINANCIAL SERVICES, INC.
October 8, 1987 - March 8, 1988
RAYMOND JAMES & ASSOCIATES, INC.
July 2, 1987 - October 14, 1987
GRUNTAL & CO., L.L.C.
November 3, 1986 - November 20, 1986
MABON, NUGENT & CO.
September 15, 1986 - July 1, 1987
JSC SECURITIES, INC.
March 31, 1986 - September 17, 1986
A. G. EDWARDS & SONS, INC.
August 9, 1985 - April 8, 1986
CIBC WORLD MARKETS CORP.
October 19, 1984 - August 14, 1985
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
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
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
