Gerald J. Graves

FILIGREE WEALTH ADVISORS

Laguna Niguel, CA

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CRD#: 1327639

Professional summary

Gerald Jay Graves is a registered financial advisor currently at FILIGREE WEALTH ADVISORS, LLC located in Laguna Niguel, California.

Gerald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Gerald has worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerald Jay Graves's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 8, 2022 - Present

FILIGREE WEALTH ADVISORS, LLC

RIA

CRD#: 318729

Laguna Niguel, CA

Past

October 21, 2020 - May 16, 2022

CW ADVISORS, LLC

RIA

CRD#: 310873

COSTA MESA, CA

Past

July 18, 2019 - December 2, 2020

CONGRESS WEALTH MANAGEMENT LLC

RIA

CRD#: 149446

Laguna Niguel, CA

Past

February 1, 2016 - July 16, 2019

SVB WEALTH

RIA

CRD#: 172832

LAKE OSWEGO, OR

Past

February 24, 2009 - February 12, 2016

FILIGREE ADVISORS

RIA

CRD#: 146284

LAKE OSWEGO, OR

Past

May 24, 2006 - January 4, 2008

M FINANCIAL ASSET MANAGEMENT, INC.

RIA

CRD#: 136694

PORTLAND, OR

Past

December 13, 2004 - December 31, 2007

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PORTLAND, OR

Past

October 21, 1993 - November 5, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 26, 1993 - September 14, 1993

COLUMBIA FINANCIAL CENTER INCORPORATED

CRD#: 23562

PORTLAND, OR

Past

April 7, 1989 - March 5, 1993

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 10, 1986 - March 20, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

August 23, 1985 - January 21, 1986

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FILIGREE WEALTH ADVISORS, LLC

CRD#: 318729 / SEC#: 801-123362

RIA

Registered Investment Advisory firm - (3/3/2022 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(3/8/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/13/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/6/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/29/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 11/16/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

FILIGREE WEALTH ADVISORS, LLC

CRD#: 318729 / SEC#: 801-123362

RIA

Registered Investment Advisory firm - (3/3/2022 Approved)

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Contact information

Main Address

530 Technology Drive Ste 100, Irvine, CA 92618

Mailing Address

Phone number

(949) 989-2527

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A - FIRM BROCHURE - FILIGREE WEALTH ADVISORS (3/25/2025)

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 180,493,287

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.

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Firm Stability Insights

Gerald J. Graves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerald Jay Graves's CRS (Customer Relationship Summary).

Certified licenses

Experience

CW ADVISORS, LLC

CONGRESS WEALTH MANAGEMENT LLC

SVB WEALTH

FILIGREE ADVISORS

M FINANCIAL ASSET MANAGEMENT, INC.

M HOLDINGS SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

COLUMBIA FINANCIAL CENTER INCORPORATED

CHARLES SCHWAB & CO., INC.

DREXEL BURNHAM LAMBERT INCORPORATED

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

FILIGREE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/13/2006

Series 63

Date: 9/6/1985

Series 7

Date: 8/17/1985

Series 24

Date: 5/29/1998

Series 8

Date: 11/16/1994

Current Firm

FILIGREE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FILIGREE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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