Charles M. Graham
Professional summary
Charles Mcmillan Graham was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial advisor and started their career in finance in 1970. Prior to being barred, Charles had worked at 4 firms, which includes SOUTHEAST INVESTMENTS N.C. INC., OSAIC FS INC., INDEPENDENT ADVISERS GROUP CORP, SENTRY EQUITY SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2011 - January 3, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
January 1, 2000 - May 3, 2010
OSAIC FS, INC.
October 6, 1999 - May 5, 2010
INDEPENDENT ADVISERS GROUP CORP
May 30, 1973 - May 3, 2010
OSAIC FS, INC.
November 1, 1970 - July 4, 1973
SENTRY EQUITY SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 8/5/1969
Registered Representative ExaminationCurrent Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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