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GW

Graham S. Wickham

WICKHAM FINANCIAL & INSURANCE SERVICES
Marietta, GA 30060
Some features on this profile are disabled
CRD#: 2508545
GW

Professional summary

Graham Stewart Wickham, who also goes by Graham Stuart Wickham, is a registered financial advisor currently at WICKHAM FINANCIAL & INSURANCE SERVICES located in Marietta, Georgia.

Graham is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Graham has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Graham Stuart Wickham

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 WICKHAM AGENCY, INC. IS A FULL SERVICE INDEPENDENT INSURANCE AGENCY OFFERING COMMERCIAL AND PERSONAL LINES OF INSURANCE, INCLUDING LIFE, HEALTH, DISABILITY, LONG-TERM CARE AND DENTAL INSURANCE. NONE OF THE ACTIVITY IS INVESTMENT RELATED. THE OFFICE IS LOCATED IN MARIETTA, GA. MR. WICKHAM TOOK OVER THE BUSINESSES FROM HIS FATHER. MR. WICKHAM DEVOTES 20-30% OF HIS TIME TO THIS ACTIVITY, 20% OF THAT DURING NORMAL TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Graham Stewart Wickham'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

February 21, 2020 - Present

WICKHAM FINANCIAL & INSURANCE SERVICES

Office #1: 331 Washington Avenue Ne, Marietta, GA 30060
RIA
CRD#: 307299
Marietta, GA
Past

August 6, 2015 - March 18, 2020

CARTER, TERRY & COMPANY, INC.

RIA
CRD#: 16365
ATLANTA, GA
Past

March 23, 2010 - March 18, 2020

CARTER, TERRY & COMPANY, INC.

BD
CRD#: 16365
ATLANTA, GA
Past

December 9, 2002 - March 17, 2010

MIDSOUTH CAPITAL, INC.

BD
CRD#: 35039
MARIETTA, GA
Past

January 3, 2000 - December 14, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 4, 1999 - December 31, 1999

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

April 27, 1998 - January 4, 1999

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

August 19, 1996 - April 27, 1998

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

August 25, 1994 - July 31, 1996

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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".
WF
WICKHAM FINANCIAL & INSURANCE SERVICES
WICKHAM FINANCIAL & INSURANCE SERVICES | WICKHAM FINANCIAL GROUP, INC.

CRD#: 307299 / SEC#: 801-124758

RIA
Registered Investment Advisory firm - (4/22/2022 Approved)
Georgia
Registered Investment Advisory firm - (6/19/2020 Approved)
North Carolina
Registered Investment Advisory firm - (6/23/2020 Approved)
Texas
Registered Investment Advisory firm - (6/4/2020 Conditional Restricted)

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.

Highlighted states indicate IAR registrations

IAR
Georgia
(3/5/2020)
IAR
Texas
(2/21/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/24/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/2/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/8/1998
General Securities Principal Examination

Current Firm

WF
WICKHAM FINANCIAL & INSURANCE SERVICES
WICKHAM FINANCIAL & INSURANCE SERVICES | WICKHAM FINANCIAL GROUP, INC.

CRD#: 307299 / SEC#: 801-124758

RIA
Registered Investment Advisory firm - (4/22/2022 Approved)
Georgia
Registered Investment Advisory firm - (6/19/2020 Approved)
North Carolina
Registered Investment Advisory firm - (6/23/2020 Approved)
Texas
Registered Investment Advisory firm - (6/4/2020 Conditional Restricted)
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Contact information

Main Address
331 Washington Avenue Ne, Marietta, GA 30060
Mailing Address
Phone number
(770) 424-8711
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WICKHAM FINANCIAL & INSURANCE SERVICES - FORM ADV 2A - FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts722
AUM (Assets Under Management)$ 145,808,313

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

WICKHAM FINANCIAL & INSURANCE SERVICES

CRD#: 307299Marietta, GA 30060

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