Gordon M. Graffius

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CRD#: 227017

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.

Gordon Marlyn Graffius was a registered financial professional .

Gordon is a previously registered financial professional and started their career in finance in 1971. Gordon had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 1 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.

1)COMMONWEALTH BENEFITS GROUP, 2 BARLO CIRCLE, SUITE C, DILLSBURG, PA 17019 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERS ACCIDENT/HEALTH INSURANCE, DISABILITY INSURANCE, HEALTH SAVING ACCOUNTS, FIXED/INDEXED ANNUITIES AND TRADITIONAL LIFE INSURANCE PRODUCTS. START DATE: 3/2004 HOURS PER MONTH: 150 HOURS PER MONTH DURING TRADING HOURS: 150 2)WELCOME FUNDS, INC., 2 BARLO CIRCLE, SUITE C, DILLSBURG, PA 17019 CATEGORY: LIFE SETTLEMENTS INVESTMENT-RELATED: NO TITLE: AGENT DUTIES: ASSIST CLIENTS WITH LIFE SETTLEMENT WHEN ASKED START DATE: 3/2008 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS:2 3) NAME OF OTHER BUSINESS: S & M HUNTING LODGE; INVESTMENT RELATED: NO; ADDRESS: 3243 YORK ROAD, GETTYSBURG, PA 17325; NATURE OF BUSINESS: HUNTING LODGE; START DATE: 01/1995; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: HELP TO MAKE DECISIONS FOR THE CLUB, OVERSEE ONE EMPLOYEE; 4) NAME OF OTHER BUSINESS: COMMONWEALTH FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 1985; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR / REGISTERED REP; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

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 29, 2023 - October 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Mechanicsburg, PA

Past

August 13, 2014 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

MECHANICSBURG, PA

Past

January 14, 2013 - October 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MECHANICSBURG, PA

Past

March 9, 2000 - December 31, 2012

OSAIC FS, INC.

CRD#: 3870

DILLSBURG, PA

Past

July 24, 1997 - March 7, 2000

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

June 8, 1992 - July 24, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

May 17, 1976 - June 22, 1992

G. R. PHELPS & CO., INC.

CRD#: 173

Past

April 27, 1971 - June 24, 1976

ILG SECURITIES CORPORATION

CRD#: 422

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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 66

Date: 7/28/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/20/1983

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: 4/19/1971

Registered Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Gordon M. Graffius

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

OSAIC FS, INC.

NATHAN & LEWIS SECURITIES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

G. R. PHELPS & CO., INC.

ILG SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2014

Series 63

Date: 5/20/1983

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 4/19/1971

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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