Kenneth R. Graham

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CRD#: 2560875

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.

Kenneth Robert Graham was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1995. Kenneth had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Huntington Advisors, Inc.; Investment related; Irvine, CA; Investment advisor; Vice President; 09/2022; 20; 20.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 19, 2022 - April 28, 2025

HARMONY POINT WEALTH ADVISORS, INC.

RIA

CRD#: 323643

Huntington Beach, CA

Past

March 13, 2018 - January 17, 2023

YOUR PRIVATE CLIENT GROUP, INC.

RIA

CRD#: 292621

Huntington Beach, CA

Past

August 15, 2014 - July 5, 2018

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Encino, CA

Past

December 4, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

November 24, 2009 - July 5, 2018

ASSETMARK, INC.

RIA

CRD#: 109018

CONCORD, CA

Past

November 23, 2009 - November 18, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 25, 2007 - July 10, 2009

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

WESTLAKE VILLAGE, CA

Past

October 24, 2007 - July 10, 2009

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WESTLAKE VILLAGE, CA

Past

September 6, 2006 - May 4, 2007

NATIONAL PLANNING CORPORATION

CRD#: 29604

THOUSAND OAKS, CA

Past

February 19, 1998 - December 15, 1999

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

June 26, 1996 - February 28, 1997

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

January 3, 1995 - March 14, 1996

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

HARMONY POINT WEALTH ADVISORS, INC.

HARMONY POINT WEALTH ADVISORS | HUNTINGTON ADVISORS, INC. | HUNTINGTON ADVISORS | HARMONY POINT WEALTH ADVISORS, INC.

CRD#: 323643 / SEC#: 801-126832

RIA

Registered Investment Advisory firm - (11/4/2022 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/20/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2006

General Securities Representative Examination

Current Firm

HARMONY POINT WEALTH ADVISORS, INC.

HARMONY POINT WEALTH ADVISORS | HUNTINGTON ADVISORS, INC. | HUNTINGTON ADVISORS | HARMONY POINT WEALTH ADVISORS, INC.

CRD#: 323643 / SEC#: 801-126832

RIA

Registered Investment Advisory firm - (11/4/2022 Approved)

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Contact information

Main Address

18872 Macarthur Blvd Suite 410, Irvine, CA 92612

Mailing Address

6789 Quail Hill Parkway #831, Irvine, CA 92603

Phone number

(888) 391-7378

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (7/30/2025)

Regulatory assets under management

Total Number of Accounts	646
AUM (Assets Under Management)	$ 251,333,444

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.

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Advisor Monitoring

Firm Stability Insights

Kenneth R. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

YOUR PRIVATE CLIENT GROUP, INC.

ASSETMARK BROKERAGE, LLC

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

NATIONAL PLANNING CORPORATION

COREBRIDGE CAPITAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

EDWARD JONES

Primary Firm SEC Registration

HARMONY POINT WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2006

Series 65

Date: 5/20/2002

Series 63

Date: 12/29/1994

SIE

Date: 7/5/2018

Series 7

Date: 9/5/2006

Current Firm

HARMONY POINT WEALTH ADVISORS, INC.

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARMONY POINT WEALTH ADVISORS, INC.

TRUST BUT VERIFY

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