Robert M. Graves
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.
Robert Michael Graves JR, who also goes by Bobby Graves, Robert Michael Graves, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1991. Robert had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2004 - November 10, 2008
GUNNALLEN FINANCIAL, INC
November 21, 2002 - November 10, 2008
GUNNALLEN FINANCIAL, INC
January 13, 2001 - October 25, 2002
WELLS FARGO INVESTMENTS, LLC
January 13, 2001 - October 25, 2002
WELLS FARGO INVESTMENTS, LLC
March 25, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
April 26, 1993 - March 11, 1999
BANC ONE SECURITIES CORPORATION
January 8, 1991 - March 31, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 8, 1991 - March 31, 1993
EQUITABLE ADVISORS, LLC
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
