Sonia P. 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.
Sonia Prentice Graham, who also goes by Sonia Graham, Sonia Diane Piker, Sonia Diane Prentice, Sonia Simpson, was a registered financial professional .
Sonia is a previously registered financial professional and started their career in finance in 1988. Sonia had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2009 - October 7, 2024
RAYMOND JAMES & ASSOCIATES, INC.
January 30, 2009 - October 7, 2024
RAYMOND JAMES & ASSOCIATES, INC.
April 2, 2007 - February 2, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 2, 2009
MORGAN STANLEY & CO. LLC
February 4, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
February 5, 1991 - April 2, 2007
MORGAN STANLEY DW INC.
December 19, 1990 - January 30, 1991
MID-SOUTH INVESTMENT CORPORATION OF HOT SPRINGS
April 2, 1990 - May 25, 1990
ALLISON, ROSENBLUM & HANNAHS, INC.
August 4, 1989 - December 5, 1989
CENTURY FINANCIAL SECURITIES, INC.
April 27, 1989 - July 10, 1989
TITAN/VALUE EQUITIES GROUP, INC.
May 25, 1988 - February 13, 1989
U.S. ASSOCIATES, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
Company Information
RAYMOND JAMES & ASSOCIATES, INC.
Financial AdvisorCRD#: 705TRUST BUT VERIFY
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