James J. Graham

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CRD#: 2235309

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.

James Jay Graham was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1992. James had worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

Community Investment Counselors- Associate, Middlebury VT.08/2006 to Present

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

November 8, 2006 - March 23, 2023

CAPITAL CITIES INVESTMENTS

RIA

CRD#: 116185

MIDDLEBURY, VT

Past

March 31, 2005 - August 13, 2012

TRIAD ADVISORS LLC

CRD#: 25803

MIDDLEBURY, VT

Past

July 27, 1995 - April 1, 2005

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

June 15, 1992 - August 1, 1995

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

CAPITAL CITIES INVESTMENTS

CRD#: 116185 / SEC#: 801-69504

RIA

Registered Investment Advisory firm - (8/27/2008 Approved)

Florida

Registered Investment Advisory firm - (8/27/2008 Terminated)

Indiana

Registered Investment Advisory firm - (8/27/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - (9/10/2008 Terminated)

Vermont

Registered Investment Advisory firm - (8/27/2008 Terminated)

Virginia

Registered Investment Advisory firm - (8/27/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/15/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/12/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/12/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL CITIES INVESTMENTS

CRD#: 116185 / SEC#: 801-69504

RIA

Registered Investment Advisory firm - (8/27/2008 Approved)

Florida

Registered Investment Advisory firm - (8/27/2008 Terminated)

Indiana

Registered Investment Advisory firm - (8/27/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - (9/10/2008 Terminated)

Vermont

Registered Investment Advisory firm - (8/27/2008 Terminated)

Virginia

Registered Investment Advisory firm - (8/27/2008 Terminated)

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Contact information

Main Address

426 East New York Street, Indianapolis, IN 46202

Mailing Address

Phone number

(317) 475-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL CITIES INVESTMENTS ADV BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,319
AUM (Assets Under Management)	$ 251,443,578

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.

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James J. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL CITIES INVESTMENTS

TRIAD ADVISORS LLC

MUTUAL SERVICE CORPORATION

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CAPITAL CITIES INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2006

Series 63

Date: 6/12/1992

Series 6

Date: 6/12/1992

Current Firm

CAPITAL CITIES INVESTMENTS

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL CITIES INVESTMENTS

TRUST BUT VERIFY

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