Michael H. Graff

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CRD#: 227001

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.

Michael Howard Graff was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1971. Michael had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 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.

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

July 14, 2006 - July 8, 2021

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509

CHARLOTTE, NC

Past

January 3, 2006 - July 14, 2006

E*TRADE SECURITIES LLC

CRD#: 29106

CHARLOTTE, NC

Past

July 22, 1999 - December 31, 2005

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

July 29, 1987 - June 23, 1999

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

January 25, 1977 - July 31, 1987

DIS-COM SECURITIES, INC.

CRD#: 6928

Past

December 10, 1974 - December 15, 1976

FIRST EQUITY CORPORATION OF FLORIDA

CRD#: 9

Past

May 9, 1974 - August 31, 1974

M. S. WIEN & CO., INC.

CRD#: 541

Past

March 16, 1973 - May 22, 1974

EXECUTIVE SECURITIES CORP.

CRD#: 6428

Past

February 23, 1973 - March 16, 1973

DOPLER & CO., INC.

CRD#: 4144

Past

February 14, 1972 - March 1, 1973

GREENE AND COMPANY

CRD#: 1000002

Past

August 11, 1971 - March 4, 1972

DIAMOND, TURK & CO.

CRD#: 5150

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

Series 63

Date: 5/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 8/9/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/1999

General Securities Principal Examination

Current Firm

ALIGHT FINANCIAL SOLUTIONS, LLC

ALIGHT FINANCIAL SOLUTIONS, LLC | HEWITT SERVICES LLC | HEWITT FINANCIAL SERVICES LLC

CRD#: 36509 / SEC#: , 8-47344

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

320 South Canal Street 50th Floor, Chicago, IL 60606

Mailing Address

9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269

Phone number

(224) 737-7000

Established

Illinois since 04/08/1994

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALIGHT SOLUTIONS, LLC	OWNER
CHOTKOWSKI, MATTHEW ADAM	CHIEF COMPLIANCE OFFICER	5233117
FRITZ, JEREMY JASON	DIRECTOR OF BROKERAGE AND PERSONAL FINANCE SERVICES/COO	3261871
KEITH, DOUGLAS SCOTT	CHIEF FINANCIAL OFFICER	5190086

Disclosures

Regulatory Event	2
Arbitration	2

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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Advisor Monitoring

Firm Stability Insights

Michael H. Graff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

E*TRADE SECURITIES LLC

HARRISDIRECT LLC

FIRST UNION BROKERAGE SERVICES, INC.

DIS-COM SECURITIES, INC.

FIRST EQUITY CORPORATION OF FLORIDA

M. S. WIEN & CO., INC.

EXECUTIVE SECURITIES CORP.

DOPLER & CO., INC.

GREENE AND COMPANY

DIAMOND, TURK & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/1997

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 8/9/1971

Series 24

Date: 8/12/1999

Current Firm

ALIGHT FINANCIAL SOLUTIONS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALIGHT FINANCIAL SOLUTIONS, LLC

TRUST BUT VERIFY

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