Steven L. Graham
Professional summary
Steven Lewis Graham is a registered financial advisor currently at ALLIED PORTFOLIO MANAGEMENT, INC. located in Tucson, Arizona and WATERLOO CAPITAL located in Tucson, Arizona.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Steven has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Lewis Graham's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 26, 1999 - Present
ALLIED PORTFOLIO MANAGEMENT, INC.
Office #1: 5987 E. Grant Road, Tucson, AZ 85712July 15, 2026 - Present
WATERLOO CAPITAL
Office #1: 5987 E Grant Rd, Tucson, AZ 85712October 26, 1999 - December 31, 2009
ALLIED PORTFOLIO MANAGEMENT, INC.
July 20, 1998 - July 26, 2001
LONDON PACIFIC SECURITIES, INC.
October 13, 1995 - July 30, 1998
PIPER SANDLER & CO.
December 3, 1990 - October 25, 1995
SUTRO & CO. INCORPORATED
January 8, 1988 - December 4, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 25, 1985 - February 19, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
WATERLOO CAPITAL
CRD#: 133705 / SEC#: 801-63975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/26/1999)
Exams
Current Firm
WATERLOO CAPITAL
CRD#: 133705 / SEC#: 801-63975
Contact information
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,775 |
| AUM (Assets Under Management) | $ 1,686,618,820 |
Red Flags
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