PG
Phillip D. Graham
CETERA INVESTMENT ADVISERS LLC
MARIETTA, GA
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CRD#: 2969967
PG
Professional summary
Phillip Daniel Graham, who also goes by Phil Daniel Graham, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marietta, Georgia and CETERA WEALTH SERVICES, LLC located in Marietta, Georgia.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Phillip has worked at 4 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phil Daniel Graham
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) Phillip Graham Insurance~'NIR'~3650 CANTON RD~MARIETTA~GA~30066~Independent Insurance Agent~ Insurance Sales Agent~9/7/2005~2hrs~2hrs~INSURANCE AGENT 2) Rental Condo~'NIR'~16281 PERDIDO KEY DR~PENSACOLA~FL~30257~Rental Property Owner/Management ~Owner/Sole Proprietor~1/1/2001~1hrs~1hrs~OWNER MGR 3) Phillip Graham & Associates PC~'NIR'~3650 CANTON RD~MARIETTA~GA~30066~Tax Preparation/Accounting~President~12/11/2009~160hrs~160hrs~CPA 4) PHILLIP GRAHAM REAL ESTATE LLC POSITION: Managing Member NATURE: This LLC owns my office building. I am only member. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 01/01/2021 ADDRESS: 3650 Canton Road, Marietta GA 30066, United States DESCRIPTION: 1. Assess maintenance requirements of building2. Find people to help maintain3. Supervise maintenance4.Pay maintenance bills5. Pay yearly real estate taxes 5) RENTAL OF OFFICE TO DAVID MCDOUGALL C.P.A. POSITION: Building owner NATURE: Rental of office to a C.P.A., in my building, we have separate locking doors, we do not share any fax machines, copiers, or computers. All paper clients are in a locking file cabinet. We have a separate security system, that he is not a part of . He does not have code to enter our office. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2018 ADDRESS: 3650 Canton Road, Marietta GA 30066, United States DESCRIPTION: Prepare lease & provide office, for rental. Handle problems with rental that may come up; 6) NAME OF OTHER BUSINESS: CORNERSTONE COMMUNITY CHURCH, INVESTMENT RELATED: NO, ADDRESS: 4206 N ARNOLD MILL RD, WOODSTOCK, GA 30188, NATURE OF BUSINESS: CHURCH, START DATE: 10/2025, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK:.5, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: CONTROLLING FINANCE, AND REPORTING ON FINANCIAL ACTIVITY;
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Daniel 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MARIETTA, GA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3650 Canton Road, Marietta, GA 30066BD
CRD#: 13572
MARIETTA, GA
Past
April 9, 2003 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MARIETTA, GA
Past
November 26, 1997 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MARIETTA, GA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/5/2025)
RR
Georgia(9/5/2025)
IAR
Georgia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/9/2010
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
