Donald W. Graham
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.
Donald William Graham was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1986. Donald had worked at 4 firms and has passed the Series 63, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2000 - January 16, 2013
SPP CAPITAL PARTNERS L L C
July 11, 1995 - April 4, 2000
RBC CAPITAL MARKETS CORPORATION
October 14, 1993 - July 12, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 19, 1986 - October 14, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SPP CAPITAL PARTNERS L L C
CRD#: 38103 / SEC#: , 8-48093
Contact information
FINRA licenses (11 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
