Donald M. Graubart
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.
Donald Marshall Graubart, who also goes by Don Graubart, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 12 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2016 - July 25, 2023
IFAM CAPITAL
June 11, 2012 - December 31, 2014
POST OAK CAPITAL ADVISORS
April 3, 2009 - August 6, 2012
BROKERSXPRESS LLC
April 3, 2009 - August 6, 2012
BROKERSXPRESS LLC
April 25, 2005 - July 7, 2009
USF ADVISORS, LLC
January 16, 2003 - July 14, 2005
USF SECURITIES, L.P.
January 23, 2002 - January 6, 2004
INVESTEC WEALTH STRATEGIES
June 21, 1996 - March 24, 2009
USF SECURITIES, L.P.
January 28, 1995 - July 1, 1996
UBS FINANCIAL SERVICES INC.
September 26, 1978 - December 3, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 12, 1978 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 27, 1976 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
February 24, 1975 - January 21, 1977
DEAN WITTER & CO. INCORPORATED
February 6, 1970 - March 18, 1975
UNDERWOOD, NEUHAUS & 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
PC
Date: 5/9/1978
AMEX Put and Call ExamSeries 1
Date: 10/17/1962
Registered Representative ExaminationSeries 40
Date: 1/23/1970
Registered Principal ExaminationCurrent Firm
IFAM CAPITAL
CRD#: 175084 / SEC#: 801-81076
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 821 |
| AUM (Assets Under Management) | $ 1,705,072,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/18/2024 | ||
| 12/21/2023 | ||
| 12/12/2022 | ||
| 11/29/2021 |
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.
