Michael K. Graham

CETERA INVESTMENT ADVISERS LLC

SARALAND, AL 36571

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CRD#: 2272299

Professional summary

Michael Keith Graham, who also goes by Keith Graham, Michael Graham, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Saraland, Alabama and CETERA INVESTMENT SERVICES LLC located in Saraland, Alabama.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith Graham | Michael Graham

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) - RIA

Click below to view Michael Keith Graham's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 421 South Hwy 43 S, Saraland, AL 36571

RIA

CRD#: 105644

SARALAND, AL

Current

February 21, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 421 South Hwy 43 S, Saraland, AL 36571Office #2: 11 North Water Street, Mobile, AL 36602

CRD#: 15340

Saraland, AL

Past

February 22, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ST CLOUD, MN

Past

May 11, 2012 - February 7, 2013

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

MOBILE, AL

Past

April 19, 2012 - February 7, 2013

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

MOBILE, AL

Past

January 5, 2010 - April 2, 2012

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

DAPHNE, AL

Past

January 5, 2010 - April 2, 2012

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

DAPHNE, AL

Past

February 2, 2009 - November 9, 2009

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

MOBILE, AL

Past

September 15, 2005 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

SPANISH FORT, AL

Past

May 31, 2005 - December 2, 2008

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

June 1, 2004 - March 7, 2006

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

NAPA, CA

Past

June 1, 2004 - March 7, 2006

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

October 15, 2003 - May 17, 2004

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

SANTA BARBARA, CA

Past

March 3, 2003 - May 17, 2004

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

April 23, 1998 - August 2, 2001

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

November 1, 1996 - April 9, 1998

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

September 17, 1992 - October 4, 1996

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/21/2013)

IAR

Alabama
(1/21/2014)

Florida
(7/26/2019)

Georgia
(8/16/2018)

Mississippi
(11/21/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/25/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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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Michael K. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Keith Graham's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

LEGG MASON WOOD WALKER, INCORPORATED

J.C. BRADFORD & CO.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2009

Series 65

Date: 2/12/1999

Series 63

Date: 12/9/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/11/1998

Series 6

Date: 9/15/1992

FINRA

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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