Stephen M. Grahling

MARKET SECURITIES

NEW YORK, NY 10004

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CRD#: 2306943

Professional summary

Stephen Michael Grahling, who also goes by Stephen Michael Grahling, Stephen Grahling, is a registered financial professional currently at MARKET SECURITIES, LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 9 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen Michael Grahling | Stephen Grahling

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) - BD

Click below to view Stephen Michael Grahling's 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

October 17, 2016 - Present

MARKET SECURITIES, LLC

Office #1: 75 Broad Street 7th Floor, New York, NY 10004Office #2: 75 Broad Street 7th Floor, New York, NY 10004

CRD#: 283701

NEW YORK, NY

Past

April 27, 2011 - August 5, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 22, 2009 - April 28, 2011

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

January 28, 2004 - August 17, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 1, 2003 - September 15, 2003

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

December 11, 2000 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 8, 1999 - December 7, 2000

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

April 29, 1997 - January 21, 1999

CATHAY FINANCIAL INC

CRD#: 30065

NEW YORK, NY

Past

July 31, 1993 - June 3, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 25, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(11/1/2016)

Exams

State Security Law Exam

Series 63

Date: 5/28/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/25/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/23/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/20/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MARKET SECURITIES, LLC

CRD#: 283701 / SEC#: , 8-69765

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

75 Broad Street 7th Floor, New York, NY 10004

Mailing Address

9736 Rennes Ln, Delray Beach, FL 33446

Phone number

+1 (636) 675-3746

Established

Delaware since 03/08/2016

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MARKET SECURITIES HOLDINGS INC	SOLE MEMBER
BASKETT, ERIN	CHIEF COMPLIANCE OFFICER	4538604
LOTT, JACOB JAMES	CFO AND FINOP	6897857
SMITH, LISA L	COMPLIANCE OFFICER	2691076

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen M. Grahling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Michael Grahling's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JEFFERIES LLC

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

KNIGHT CAPITAL AMERICAS, L.P.

CATHAY FINANCIAL INC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/28/1997

Series 65

Date: 2/25/1993

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/23/1999

Series 7

Date: 1/20/1993

Series 24

Date: 9/9/2002

FINRA

Current Firm

MARKET SECURITIES, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MARKET SECURITIES, LLC

TRUST BUT VERIFY

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