Graham L. Copley
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.
Graham Lyndhurst Copley, who also goes by Graham L Copley, was a registered financial professional .
Graham is a previously registered financial professional and started their career in finance in 1997. Graham had worked at 5 firms and has passed the Series 63, Series 87, Series 16, 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
January 12, 2012 - January 3, 2013
SSR LLC
October 11, 2007 - July 25, 2011
MACQUARIE CAPITAL (USA) INC.
November 15, 2004 - August 23, 2007
HSBC SECURITIES (USA) INC.
December 7, 2000 - April 27, 2004
SANFORD C. BERNSTEIN & CO., LLC
April 29, 1997 - December 7, 2000
SANFORD C. BERNSTEIN & CO., 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
SSR LLC
CRD#: 151448 / SEC#: , 8-68373
Contact information
Documents
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.
