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JG

Joel T. Graham

GRAHAM FINANCIAL
Shreveport, LA
Some features on this profile are disabled
CRD#: 2556229
JG

Professional summary

Joel Tracy Graham is a registered financial advisor currently at GRAHAM FINANCIAL located in Shreveport, Louisiana.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Joel has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
Pastor at Norris Ferry Community Church; full-time; non-investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Tracy Graham'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

March 26, 2020 - Present

GRAHAM FINANCIAL

RIA
CRD#: 307088
Shreveport, LA
Past

October 19, 1999 - February 15, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 19, 1997 - September 16, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

June 19, 1997 - September 16, 1999

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

January 9, 1995 - December 11, 1995

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

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
Louisiana
(3/26/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/16/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/25/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/1995
General Securities Representative Examination

Current Firm

GF
GRAHAM FINANCIAL
GRAHAM FINANCIAL | GRAHAM FINANCIAL, LLC

CRD#: 307088 / SEC#:

Louisiana
Registered Investment Advisory firm - (3/26/2020 Approved)
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Contact information

Main Address
Shreveport, LA
Mailing Address
Phone number
(318) 658-8157
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts9
AUM (Assets Under Management)$ 5,331,678

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

GRAHAM FINANCIAL

CRD#: 307088Shreveport, LA

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