Karl E. Graham
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.
Karl Ensminger Graham was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1998. Karl had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2008 - December 31, 2014
HOMESTEAD ADVISERS CORP.
July 2, 2003 - January 6, 2014
HOMESTEAD FINANCIAL SERVICES CORP.
December 6, 2001 - March 21, 2003
HOMESTEAD FINANCIAL SERVICES CORP.
April 20, 1998 - September 17, 1998
PFS INVESTMENTS INC.
Primary Firm SEC Registration
HOMESTEAD ADVISERS CORP.
CRD#: 109845 / SEC#: 801-37391
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
HOMESTEAD ADVISERS CORP.
CRD#: 109845 / SEC#: 801-37391
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19 |
| AUM (Assets Under Management) | $ 7,735,038,928 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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