William M. 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.
William Michael Graham, who also goes by Bill Graham, William M Graham, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2022 - June 1, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 16, 2016 - January 19, 2022
COREBRIDGE CAPITAL SERVICES, INC.
July 9, 2015 - March 10, 2016
FAIRWATER WEALTH MANAGEMENT
May 26, 2015 - February 19, 2016
LPL FINANCIAL LLC
May 26, 2015 - February 19, 2016
LPL FINANCIAL LLC
March 9, 2015 - June 3, 2015
MSI FINANCIAL SERVICES, INC.
August 11, 2014 - June 3, 2015
MSI FINANCIAL SERVICES, INC.
December 11, 2004 - May 14, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
June 26, 2003 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
May 22, 2002 - December 17, 2004
NEW ENGLAND SECURITIES
April 17, 2001 - December 31, 2001
OLD SLIP CAPITAL MANAGEMENT, INC.
July 14, 1999 - October 26, 2000
OLD SLIP CAPITAL MANAGEMENT, INC.
June 19, 1998 - November 11, 1998
PRUDENTIAL EQUITY GROUP, LLC
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
