Norma L. Graves

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CRD#: 1579784

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.

Norma Lee Graves, CFP® was a registered financial professional .

Norma is a previously registered financial professional and started their career in finance in 1986. Norma had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Past

November 3, 2005 - August 9, 2022

WEST FINANCIAL SERVICES, INC.

RIA

CRD#: 137497

Palm Springs, CA

Past

January 7, 2003 - November 3, 2005

WEST FINANCIAL SERVICES INC

RIA

CRD#: 107004

MCLEAN, VA

Past

May 1, 1997 - June 14, 1999

ZIV INVESTMENT COMPANY

CRD#: 4316

CHICAGO, IL

Past

November 21, 1995 - April 9, 1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

November 21, 1995 - April 9, 1997

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

January 3, 1995 - November 16, 1995

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

November 18, 1986 - June 1, 1988

TRICORP SECURITIES, LTD.

CRD#: 14548

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".

WEST FINANCIAL SERVICES, INC.

CRD#: 137497 / SEC#: 801-64834

RIA

Registered Investment Advisory firm - (10/3/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 4/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/28/1994

General Securities Representative Examination

Current Firm

WEST FINANCIAL SERVICES, INC.

CRD#: 137497 / SEC#: 801-64834

RIA

Registered Investment Advisory firm - (10/3/2005 Approved)

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Contact information

Main Address

2010 Corporate Ridge Road Ste 530, Mclean, VA 22102

Mailing Address

Phone number

(703) 847-2500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WFS - FORM ADV, PART 2A (4/10/2025)

Regulatory assets under management

Total Number of Accounts	2,636
AUM (Assets Under Management)	$ 2,574,623,952

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Norma L. Graves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEST FINANCIAL SERVICES INC

ZIV INVESTMENT COMPANY

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

THE ADVISORS GROUP, INC.

TRICORP SECURITIES, LTD.

Primary Firm SEC Registration

WEST FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/1999

Series 63

Date: 12/29/1994

Series 7

Date: 12/28/1994

Current Firm

WEST FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEST FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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