Colleen A. Grafenstein
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.
Colleen Ann Grafenstein was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1996. Colleen had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2015 - October 20, 2015
FORESTERS FINANCIAL SERVICES, INC.
January 22, 2015 - February 26, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2009 - April 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 12, 1997 - January 17, 2005
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 3, 1997 - May 13, 1997
MJK CLEARING, INC.
September 25, 1996 - January 3, 1997
JM DISSOLUTION, INC.
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
FORESTERS FINANCIAL SERVICES, INC.
CRD#: 305 / SEC#: , 8-13891
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Civil Event | 3 |
| Arbitration | 18 |
Red Flags
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