GG
Gerald A. Graham
CETERA INVESTMENT ADVISERS LLC
AURORA, CO
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CRD#: 1403149
GG
Professional summary
Gerald Allen Graham SR, who also goes by Gerald Allen Graham, Jerry Graham, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Aurora, Colorado and CETERA ADVISORS LLC located in Aurora, Colorado.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Gerald has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gerald Allen Graham | Jerry Graham
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 03/1997; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE. 2.PROFESSIONAL MUSICIAN, START 1996, 15605 E GRAND AURORA CO 80015, 1HR/WK, COMPOSER ACCOMPANIST 3. ATHLETIC ONES, NOT INVESTMENT RELATED, 16748 E SMOKEY HILL ROAD, #320, CENTENNIAL, CO 80015, START 08/04/2013, A START-UP NOT FOR PROFIT ORGANIZATION TO PROMOTE THE SUCCESS AND HEALTH OF STUDENT ATHLETES WHO ARE DIAGNOSED WITH TYPE 1 DIABETES, 1 HOUR PER WEEK, NOT DURING TRADING HOURS, VICE PRESIDENT ON THE BOARD OF DIRECTORS, OPERATIONAL ACTIVITIES, HELP WITH THE ORGANIZATION OF FUND RAISING ACTIVITIES AND POTENTIAL SCHOLARSHIPS.. 4. NAME OF OTHER BUSINESS: SIFMA FOUNDATION'S INVEST IT FORWARD INVESTMENT RELATED: NO ADDRESS: 120 BROADWAY 35TH FL. NEW YORK NY 10271 NATURE OF BUSINESS: NON-PROFIT START DATE: 2/2016 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF TRADING HOURS PER WEEK: 1 POSITION/TITLE/RELATIONSHIP: VOLUNTEER BRIEF DESCRIPTION OF DUTIES: TEACH AND JUDGE FOR NATIONAL ESSAY COMPETITION. 5. NAME OF OTHER BUSINESS: THE TIMBERLINE GROUP, LLC/TIMBERLINE WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2025, POSITION/TITLE/RELATIONSHIP: CO-OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 6. NAME OF OTHER BUSINESS: DBA THE TIMBERLINE INSURANCE AGENCY; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/16/2000; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE BUSINESS. 7. NAME OF OTHER BUSINESS: DBA THE TIMBERLINE GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/16/2000; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 50+ HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Allen Graham SR's 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
AURORA, CO
Current
June 30, 1997 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Aurora, CO
Past
January 1, 1999 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
CENTENNIAL, CO
Past
November 11, 1991 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
November 11, 1991 - August 5, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
February 8, 1990 - July 23, 1991
JJC SECURITIES CO., INC.
BD
CRD#: 3144
Past
January 15, 1990 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
BD
CRD#: 10620
Past
January 9, 1989 - May 24, 1990
CENTURY FINANCIAL SECURITIES, INC.
BD
CRD#: 15280
Past
November 7, 1988 - January 9, 1989
ALLIED CAPITAL GROUP, INC.
BD
CRD#: 13146
Past
January 13, 1988 - September 19, 1988
BRENNAN ROSS SECURITIES, INC.
BD
CRD#: 18363
Past
August 6, 1987 - February 1, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
BD
CRD#: 7998
Past
June 24, 1987 - August 31, 1987
HAMILTON BOHNER, INC.
BD
CRD#: 14774
Past
August 21, 1985 - July 15, 1987
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/5/1998)
RR
California(8/29/2001)
RR
Colorado(7/8/1997)
IAR
Colorado(3/21/2024)
RR
Delaware(1/19/2024)
RR
District of Columbia(2/10/2023)
RR
Florida(6/6/2014)
RR
Georgia(1/4/2022)
RR
Missouri(7/1/2019)
RR
Nebraska(1/29/2019)
RR
New York(1/5/2016)
RR
South Dakota(7/14/2023)
RR
Texas(5/17/2000)
IAR
Texas(3/21/2024)
RR
Washington(11/2/2007)
RR
Wisconsin(1/28/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
