Steven L. Graham

ALLIED PORTFOLIO MANAGEMENT

Tucson, AZ 85712

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CRD#: 1371834

Professional summary

Steven Lewis Graham is a registered financial advisor currently at ALLIED PORTFOLIO MANAGEMENT, INC. 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 6 firms and has passed the Series 65, Series 63 and Series 7 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 Steven Lewis Graham'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

October 26, 1999 - Present

ALLIED PORTFOLIO MANAGEMENT, INC.

Office #1: 5987 E. Grant Road, Tucson, AZ 85712

RIA

CRD#: 113809

Tucson, AZ

Past

October 26, 1999 - December 31, 2009

ALLIED PORTFOLIO MANAGEMENT, INC.

RIA

CRD#: 113809

TUCSON, AZ

Past

July 20, 1998 - July 26, 2001

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

Past

October 13, 1995 - July 30, 1998

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

December 3, 1990 - October 25, 1995

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

January 8, 1988 - December 4, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 25, 1985 - February 19, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

ALLIED PORTFOLIO MANAGEMENT, INC.

ALLIED PORTFOLIO MANAGEMENT, INC. | STEVEN LEWIS GRAHAM

CRD#: 113809 / SEC#: 801-61656

RIA

Registered Investment Advisory firm - (12/6/2002 Approved)

Arizona

Registered Investment Advisory firm - (12/16/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(10/26/1999)

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 65

Date: 11/20/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Current Firm

ALLIED PORTFOLIO MANAGEMENT, INC.

ALLIED PORTFOLIO MANAGEMENT, INC. | STEVEN LEWIS GRAHAM

CRD#: 113809 / SEC#: 801-61656

RIA

Registered Investment Advisory firm - (12/6/2002 Approved)

Arizona

Registered Investment Advisory firm - (12/16/2002 Terminated)

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Contact information

Main Address

5987 E. Grant Road, Tucson, AZ 85712

Mailing Address

5987 E. Grant Road, Tucson, AZ 85712

Phone number

(520) 296-1035

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	332
AUM (Assets Under Management)	$ 209,180,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/19/2025	Cover Page	Report
02/28/2025	Cover Page	Report
09/12/2023	Cover Page	Report
03/22/2023	Cover Page	Report

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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Steven L. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lewis Graham's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIED PORTFOLIO MANAGEMENT, INC.

LONDON PACIFIC SECURITIES, INC.

PIPER SANDLER & CO.

SUTRO & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

ALLIED PORTFOLIO MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/20/1992

Series 63

Date: 10/2/1985

Series 7

Date: 9/21/1985

Current Firm

ALLIED PORTFOLIO MANAGEMENT, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIED PORTFOLIO MANAGEMENT, INC.

TRUST BUT VERIFY

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