Tyler W. Graffigna
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.
Tyler Wayne Graffigna, who also goes by Tyler Graffigna, was a registered financial professional .
Tyler is a previously registered financial professional and started their career in finance in 1994. Tyler had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2014 - January 17, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 2014 - January 17, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2011 - June 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 20, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 19, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 29, 2002 - September 21, 2005
CITICORP INVESTMENT SERVICES
July 1, 2002 - September 21, 2005
CITICORP INVESTMENT SERVICES
May 15, 2001 - June 12, 2002
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - June 12, 2002
WELLS FARGO INVESTMENTS, LLC
January 22, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
August 5, 1994 - September 13, 1994
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
Company Information
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Senior Financial AdvisorCRD#: 7691TRUST BUT VERIFY
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