Martin J. 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.
Martin Jay Graff, who also goes by Marty Graff, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1992. Martin had worked at 8 firms and has passed the Series 65, Series 63, SIE 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 7, 2011 - April 2, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
September 7, 2011 - April 2, 2018
ALLSTATE FINANCIAL SERVICES, LLC
August 3, 2010 - August 30, 2011
SII INVESTMENTS, INC.
June 30, 2010 - August 30, 2011
SII INVESTMENTS, INC.
October 4, 2004 - July 1, 2010
WORKMAN SECURITIES CORPORATION
August 26, 1998 - October 6, 2004
HORNOR, TOWNSEND & KENT, LLC
May 27, 1993 - October 31, 1995
SECURITY FINANCIAL NETWORK, LLC
June 16, 1992 - May 7, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 16, 1992 - May 7, 1993
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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