James N. Graham
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.
James Norton Graham was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 6 firms and has passed the Series 63, Series 7, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 1987 - April 28, 1988
FIRST NEWPORT CAPITAL MARKETS
April 10, 1986 - May 25, 1990
LIBERTY CAPITAL MARKETS, INC.
July 24, 1984 - December 9, 1985
LIBERTY EQUITIES, INC.
April 23, 1979 - April 5, 1982
AMERICAN INVESTORS COMPANY
January 2, 1979 - June 6, 1979
SOUTHMARK FINANCIAL SERVICES, INC.
September 8, 1970 - December 18, 1971
SHEARSON, HAMMILL & 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 1
Date: 8/31/1970
Registered Representative ExaminationCurrent Firm
FIRST NEWPORT CAPITAL MARKETS
CRD#: 17457 / SEC#: , 8-35077
Contact information
Documents
Red Flags
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