Kathleen S. Graves

PETTYJOHN, WOOD & WHITE

LYNCHBURG, VA 24501

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CRD#: 1467968

Professional summary

Kathleen Seifert Graves, who also goes by Kathy Graves, is a registered financial advisor currently at PETTYJOHN, WOOD & WHITE, INC. located in Lynchburg, Virginia.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Kathleen has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Graves

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.

BOONSBORO COUNTRY CLUB POSITION: Board Member NATURE: Private Country Club INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022 ADDRESS: , Lynchburg VA , United States DESCRIPTION: Member of the board helping to oversee operations of the club.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Seifert 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

January 10, 2024 - Present

PETTYJOHN, WOOD & WHITE, INC.

Office #1: 1925 Atherholt Road, Lynchburg, VA 24501

RIA

CRD#: 106403

LYNCHBURG, VA

Past

September 27, 2016 - October 10, 2023

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

LYNCHBURG, VA

Past

March 1, 2006 - October 10, 2023

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

LYNCHBURG, VA

Past

December 1, 2005 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

LYNCHBURG, VA

Past

September 29, 2003 - November 2, 2005

DAVIDSON & GARRARD INC

RIA

CRD#: 105206

LYNCHBURG, VA

Past

March 7, 2001 - June 12, 2003

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

August 19, 1998 - November 10, 2000

ONE VALLEY SECURITIES CORPORATION

CRD#: 36910

CHARLESTON, WV

Past

July 19, 1993 - August 24, 1998

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

January 5, 1988 - July 28, 1993

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

Past

March 7, 1986 - October 26, 1987

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

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".

PETTYJOHN, WOOD & WHITE, INC.

OLD DOMINION CLIENT SERVICES, LLC | THE PETTYJOHN COMPANY | PETTYJOHN, WOOD & WHITE, INC. | PETTYJOHN CO

CRD#: 106403 / SEC#: 801-13803

RIA

Registered Investment Advisory firm - (5/10/1978 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

Virginia
(1/10/2024)

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: 9/26/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

Current Firm

PETTYJOHN, WOOD & WHITE, INC.

OLD DOMINION CLIENT SERVICES, LLC | THE PETTYJOHN COMPANY | PETTYJOHN, WOOD & WHITE, INC. | PETTYJOHN CO

CRD#: 106403 / SEC#: 801-13803

RIA

Registered Investment Advisory firm - (5/10/1978 Approved)

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Contact information

Main Address

1925 Atherholt Road, Lynchburg, VA 24501

Mailing Address

P. O. Box 310, Lynchburg, VA 24505

Phone number

(434) 845-1266

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART II BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	976
AUM (Assets Under Management)	$ 853,805,405

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/30/2024	Cover Page	Report
11/13/2023	Cover Page	Report
02/02/2023	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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kathleen S. Graves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Seifert Graves's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

DAVIDSON & GARRARD INC

BB&T INVESTMENT SERVICES, INC.

ONE VALLEY SECURITIES CORPORATION

FIRST UNION CAPITAL MARKETS CORP.

CRESTAR SECURITIES CORPORATION

SCOTT & STRINGFELLOW, INC.

Primary Firm SEC Registration

PETTYJOHN, WOOD & WHITE, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2003

Series 63

Date: 6/18/1986

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

Current Firm

PETTYJOHN, WOOD & WHITE, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PETTYJOHN, WOOD & WHITE, INC.

TRUST BUT VERIFY

Contact information

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