William J. Graf

KPMG CORPORATE FINANCE LLC

Baltimore, MD 21202

Some features on this profile are disabled

CRD#: 2981149

Professional summary

William J Graf II is a registered financial professional currently at KPMG CORPORATE FINANCE LLC located in Baltimore, Maryland.

William is registered as a RR (Registered Representative) and started their career in finance in 2012. William has worked at 2 firms and has passed the Series 63, Series 82TO, SIE, Series 79 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William J Graf II'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®

None

Experience

Current

May 11, 2021 - Present

KPMG CORPORATE FINANCE LLC

Office #1: 750 E. Pratt Street 18th Floor, Baltimore, MD 21202

CRD#: 103973

Baltimore, MD

Past

June 18, 2012 - April 29, 2021

M&T SECURITIES, INC.

CRD#: 17358

Baltimore, MD

State Registrations and Notice Filings

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

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

Arizona
(1/7/2022)

Arkansas
(1/7/2022)

California
(1/7/2022)

Colorado
(5/11/2021)

Connecticut
(1/7/2022)

Delaware
(1/7/2022)

District of Columbia
(5/11/2021)

Florida
(5/11/2021)

Georgia
(1/7/2022)

Illinois
(1/7/2022)

Indiana
(11/18/2021)

Iowa
(1/7/2022)

Kentucky
(1/7/2022)

Louisiana
(5/11/2021)

Maryland
(5/11/2021)

Massachusetts
(1/7/2022)

Michigan
(1/7/2022)

Minnesota
(1/7/2022)

Mississippi
(1/7/2022)

Missouri
(1/7/2022)

Nevada
(1/7/2022)

New Hampshire
(9/16/2025)

New Jersey
(1/7/2022)

New York
(11/18/2021)

North Carolina
(1/7/2022)

Ohio
(5/12/2021)

Oregon
(1/7/2022)

Pennsylvania
(1/7/2022)

Rhode Island
(1/7/2022)

Texas
(1/7/2022)

Vermont
(1/7/2022)

Virginia
(1/7/2022)

Washington
(1/7/2022)

West Virginia
(1/7/2022)

Wisconsin
(1/7/2022)

Exams

State Security Law Exam

Series 63

Date: 11/12/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 6/28/2021

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 6/16/2012

Investment Banking Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KPMG CORPORATE FINANCE LLC

KPMC CORPORATE FINANCE LLC | KPMG CORPORATE FINANCE LLC

CRD#: 103973 / SEC#: , 8-52462

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436

Mailing Address

200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436

Phone number

(312) 665-3100

Established

Delaware since 02/08/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KPMG LLP	OWNER
BROKMEIER, REBECCA EWING	PRESIDENT	4704333
IZAGUIRRE, ALFREDO	CHIEF COMPLIANCE OFFICER	2055065
OZTAN, EROL MURAT	FINOP, PRINCIPAL FINANCIAL OFFICER	5493662

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.

Similar Advisors

Brian Mckinney

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Gary Williams

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Lawrence Leitch

LPL FINANCIAL LLC

IAR

TOWSON, MD

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William J. Graf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William J Graf II's CRS (Customer Relationship Summary).

Certified licenses

Experience

KPMG CORPORATE FINANCE LLC

M&T SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/2021

Series 82TO

Date: 6/28/2021

SIE

Date: 10/1/2018

Series 79

Date: 6/16/2012

Series 24

Date: 12/12/2023

FINRA

Current Firm

KPMG CORPORATE FINANCE LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KPMG CORPORATE FINANCE LLC

TRUST BUT VERIFY

Similar Advisors