Brian S. Graham

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CRD#: 2581633

Professional summary

Brian Scott Graham was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Brian had worked at 7 firms, which includes CETERA INVESTMENT ADVISERS LLC, CETERA WEALTH SERVICES LLC, TOWER SQUARE SECURITIES INC., UBS FINANCIAL SERVICES INC., MESIROW FINANCIAL INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, AMERIPRISE ADVISOR SERVICES INC..

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.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: GRAHAM CAPITAL MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/2017; POSITION/TITLE/RELATIONSHIP: OWNER / SENIOR MANAGING DIRECTOR; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

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

June 29, 2023 - April 12, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

PLAINFIELD, IL

Past

September 3, 2013 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

PLAINFIELD, IL

Past

September 3, 2013 - April 12, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PLAINFIELD, IL

Past

June 23, 2010 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

NAPERVILLE, IL

Past

June 23, 2010 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

CRD#: 833

NAPERVILLE, IL

Past

May 23, 2006 - June 18, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NAPERVILLE, IL

Past

May 23, 2006 - June 18, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NAPERVILLE, IL

Past

September 16, 1999 - May 22, 2006

MESIROW FINANCIAL, INC.

RIA

CRD#: 2764

OAKBROOK TERRACE, IL

Past

September 3, 1999 - May 22, 2006

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

February 18, 1997 - September 10, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 3, 1995 - January 21, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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 65

Date: 2/25/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/1995

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Brian S. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MESIROW FINANCIAL, INC.

MESIROW FINANCIAL, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/1997

Series 63

Date: 5/9/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/2/1995

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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