Karl F. Graff
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.
Karl Fredrick Graff was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1991. Karl had worked at 11 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2002 - November 21, 2003
CLEMENTS COMPANY INVESTMENT ADVISORS
October 15, 1999 - July 17, 2000
EQUITRADE SECURITIES CORPORATION
June 22, 1998 - October 7, 1998
BARRON CHASE SECURITIES, INC.
December 23, 1996 - March 16, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
December 15, 1995 - January 2, 1997
ARGENT SECURITIES, INC.
February 15, 1995 - October 23, 1995
EQUITY PROGRAMS CORPORATION
December 22, 1994 - January 20, 1995
GLOBAL FINANCIAL GROUP, INC.
July 13, 1994 - December 5, 1994
J. A. OVERTON & CO., INC.
May 25, 1994 - July 1, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
September 17, 1992 - May 19, 1994
CENTEX SECURITIES, INCORPORATED
July 15, 1992 - October 1, 1992
DICKINSON & CO.
November 29, 1991 - July 28, 1992
J. W. GANT & ASSOCIATES, INC.
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
Series 62
Date: 11/26/1991
Corporate Securities Limited Representative ExaminationCurrent Firm
CLEMENTS COMPANY INVESTMENT ADVISORS
CRD#: 47000 / SEC#: , 8-51619
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VALHALLA CAPITAL LLC | OWNER | |
| CHAPIN, ROLAND LEE | PRESIDENT | 2494038 |
| CLEMENTS, JAMES MICHAEL | VICE PRESIDENT |
Disclosures
| Regulatory Event | 5 |
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.
