Michael S. Graeber
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.
Michael Stephen Graeber, who also goes by Mke Graeber, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3, Series 15 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 14, 2017 - February 13, 2024
TCFG INVESTMENT ADVISORS, LLC
April 13, 2017 - February 13, 2024
TCFG WEALTH MANAGEMENT, LLC
August 19, 2015 - May 4, 2017
SUMMIT FINANCIAL GROUP INC
August 19, 2015 - April 24, 2017
SUMMIT BROKERAGE SERVICES, INC.
July 1, 2003 - August 19, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 19, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 22, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 7, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1988 - April 13, 1993
LEHMAN BROTHERS INC.
November 10, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
October 14, 1987 - October 30, 1987
E. F. HUTTON & COMPANY INC
January 23, 1985 - October 30, 1987
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TCFG INVESTMENT ADVISORS, LLC
CRD#: 166606 / SEC#: 801-77596
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 15
Date: 11/20/1985
Foreign Currency Options ExaminationCurrent Firm
TCFG INVESTMENT ADVISORS, LLC
CRD#: 166606 / SEC#: 801-77596
Contact information
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,344 |
| AUM (Assets Under Management) | $ 575,111,609 |
Red Flags
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