KG
Kenneth D. Graves
CAPITAL RESEARCH ADVISORS
Suwanee, GA 30024
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CRD#: 1976686
KG
Professional summary
Kenneth Dwain Graves is a registered financial advisor currently at CAPITAL RESEARCH ADVISORS, LLC located in Suwanee, Georgia and CEROS FINANCIAL SERVICES, INC. located in Suwanee, Georgia.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kenneth has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
HOMEOWNERS MANAGEMENT ENTERPRISES, LLC-NON INVESTMENT RELATED-PROPERTY MANAGEMENT-49%OWNER OFFICER-STARTED 12/28/07-20 HRS A MONTH DURING NON TRADING HRS-HAVE NO DAY TO DAY ACTIVITY-50% VOTING RIGHTS PRIVATE FUND GENERAL MANAGING PARTNER; KD&D PARTNERS, LLC; 4185 SILVER PEAK PKWAY, SUWANEE, GA 30024; PRIVATE INVESTMENT/HEDGE FUND CALLED US 50 FUND,LP. OWNER; 15 HOURS PER MONTH; 4 HOURS DURING TRADING; 33.3% OWNER; THE STUDENT SCHOLARSHIP FUND OF GEORGIA, INC.-NON INVESTMENT RELATED-NON PROFIT-STARTED 11/03/08-5HRS A MONTH DURING NON TRADING HRS-HAVE NO DAY TO DAY ACTIVITY-20% VOTING RIGHTS------------ CAPITAL RESEARCH ADVISORS; START DATE: JUNE 2003; RIA FIRM; IAR/MAJORITY OWNER; 120 HRS PER MONTH; 30 HOURS PER WEEK DURING TRADING HOURS; INVESTMENT RELATED. HAMPTON ARBORS CONDO ASSOCIATION; ONGOING NON-PROFIT/VOLUNTEER WORK; OFFICER; 2 HOURS PER MONTH; 0 HOURS DURING TRADING DAY; NOT INVESTMENT RELATED; NAAIM; 6732 W. Coal Avenue #446, Littleton, CO 80123; Officer; 5 hours per month; 2 hours during trading; Not investment related; Frontline Policy,Is Not Investment Related,"15 Perry St, Suite 373, , Newnan, GA, 30263, United States",Aid state decisons on education and taxation,Volunteer Board Member,5/2/2023,2 hours per month,0 hours per month during trading hours,No Compensation Compensation,Attend online board meetings 2x a year and 2 in person board meetings 2x a year.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Dwain Graves'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
July 10, 2003 - Present
CAPITAL RESEARCH ADVISORS, LLC
Office #1: 3011 Sutton Gate Drive Second Floor, Suite 240, Suwanee, GA 30024RIA
CRD#: 125621
Suwanee, GA
Current
August 28, 2009 - Present
CEROS FINANCIAL SERVICES, INC.
Office #1: 3011 Sutton Gate Drive 2nd Floor, Suite 240, Suwanee, GA 30024BD
CRD#: 37869
Suwanee, GA
Past
June 19, 2003 - August 31, 2009
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
BUFORD, GA
Past
January 28, 2003 - June 16, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
SUGAR HILL, GA
Past
December 13, 1996 - June 16, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
November 16, 1992 - December 12, 1996
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Alabama(2/17/2011)
RR
Alaska(9/15/2009)
IAR
Georgia(7/10/2003)
RR
Georgia(9/14/2009)
RR
Maine(8/28/2009)
RR
New Jersey(5/16/2014)
RR
North Carolina(8/28/2009)
RR
South Carolina(2/3/2011)
IAR
Texas(6/25/2009)
RR
Texas(8/28/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CR
CAPITAL RESEARCH ADVISORS, LLC
CAPITAL RESEARCH ADVISORS, LLC
CRD#: 125621 / SEC#: 801-65240
RIA
Registered Investment Advisory firm - (8/7/2019 Terminated)Georgia
Registered Investment Advisory firm - (8/1/2019 Approved)Texas
Registered Investment Advisory firm - (7/2/2019 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3011 Sutton Gate Drive Second Floor, Suite 240, Suwanee, GA 30024
Mailing Address
Phone number
(770) 925-1000
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 225 |
| AUM (Assets Under Management) | $ 78,735,225 |
Red Flags
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