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JG

John M. Graham

Some features on this profile are disabled
CRD#: 2200699
JG

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.

John Martin Graham was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1992. John had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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®
None

Experience

Past

June 22, 2010 - February 6, 2012

LIFESTEPS FINANCIAL

RIA
CRD#: 153852
CLAREMONT, CA
Past

September 4, 2009 - September 2, 2010

CONCERT WEALTH MANAGEMENT

RIA
CRD#: 141253
CLAREMONT, CA
Past

June 1, 2009 - September 18, 2009

MORGAN STANLEY

RIA
CRD#: 149777
CLARMONT, CA
Past

June 1, 2009 - September 18, 2009

MORGAN STANLEY

BD
CRD#: 149777
CLARMONT, CA
Past

August 3, 1998 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CLARMONT, CA
Past

May 29, 1998 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CLARMONT, CA
Past

April 24, 1997 - May 29, 1998

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

July 31, 1993 - May 12, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 7, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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".
LF
LIFESTEPS FINANCIAL
FOOTHILL FINANCIAL ADVISORS, INC. | LIFESTEPS FINANCIAL, INC. | LIFESTEPS FINANCIAL

CRD#: 153852 / SEC#: 801-71544

RIA
Registered Investment Advisory firm - (6/22/2010 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.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/18/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/2/1992
General Securities Representative Examination

Current Firm

LF
LIFESTEPS FINANCIAL
FOOTHILL FINANCIAL ADVISORS, INC. | LIFESTEPS FINANCIAL, INC. | LIFESTEPS FINANCIAL

CRD#: 153852 / SEC#: 801-71544

RIA
Registered Investment Advisory firm - (6/22/2010 Approved)
PREMIUM
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Contact information

Main Address
250 West First Street Suite 248, Claremont, CA 91711
Mailing Address
Phone number
(909) 267-3770
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LIFESTEPS FINANCIAL, INC. FORM ADV PART 2A INCLUDING 2B (2/20/2026)

Regulatory assets under management

Total Number of Accounts1,191
AUM (Assets Under Management)$ 442,723,496

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/02/2025
Cover Page
Report
05/06/2024
Cover Page
Report
10/06/2023
Cover Page
Report

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

LIFESTEPS FINANCIAL

CRD#: 153852

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