Thomas L. Graffeo
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.
Thomas Leo Graffeo was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1967. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2005 - January 2, 2020
MFR SECURITIES, INC.
June 6, 2005 - August 5, 2005
REDWOOD SECURITIES GROUP, INC.
March 7, 1991 - April 5, 2005
REDWOOD SECURITIES GROUP, INC.
June 13, 1990 - January 30, 1991
PACIFIC COAST INDEPENDENT BROKERAGE, INC.
January 27, 1988 - May 23, 1989
THOMSON MCKINNON SECURITIES INC.
April 23, 1986 - November 16, 1987
ALEX. BROWN & SONS INCORPORATED
August 24, 1982 - April 7, 1986
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - February 10, 1980
UBS FINANCIAL SERVICES INC.
November 14, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 27, 1967 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
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 5
Date: 3/24/1983
Interest Rate Options ExaminationSeries 1
Date: 2/23/1967
Registered Representative ExaminationCurrent Firm
MFR SECURITIES, INC.
CRD#: 36308 / SEC#: , 8-47186
Contact information
FINRA licenses (13 States and Territories)
Red Flags
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