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JG

John R. Graves

Some features on this profile are disabled
CRD#: 3071360
JG

Professional summary

John Robert Graves was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, John had worked at 10 firms, which includes HARRISON DOUGLAS INC., COMMUNITY BANKERS SECURITIES LLC, COMPASS FINANCIAL ADVISORS LLC, FINTEGRA LLC, QUESTAR ASSET MANAGEMENT INC., QUESTAR CAPITAL CORPORATION, PACIFIC WEST FINANCIAL CONSULTANTS INC, PACIFIC WEST SECURITIES INC., GROVE POINT INVESTMENTS LLC, PFS INVESTMENTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Graves

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 26, 2010 - June 17, 2010

HARRISON DOUGLAS, INC.

BD
CRD#: 16515
FREDERICKSBURG, VA
Past

August 12, 2009 - December 23, 2009

COMMUNITY BANKERS SECURITIES, LLC

BD
CRD#: 42794
RICHMOND, VA
Past

May 28, 2008 - April 13, 2010

COMPASS FINANCIAL ADVISORS LLC

RIA
CRD#: 109131
FREDERICKSBURG, VA
Past

May 16, 2008 - August 14, 2009

FINTEGRA, LLC

BD
CRD#: 16741
FORT WAYNE, IN
Past

October 19, 2005 - May 28, 2008

QUESTAR ASSET MANAGEMENT, INC.

RIA
CRD#: 133358
FREDERICKSBURG, VA
Past

March 29, 2005 - May 21, 2008

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
FREDERICKSBURG, VA
Past

February 23, 2005 - March 31, 2005

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA
CRD#: 108728
FREDERICKSBURG, VA
Past

October 1, 2004 - March 31, 2005

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
RENTON, WA
Past

January 23, 2004 - September 30, 2004

GROVE POINT INVESTMENTS, LLC

RIA
CRD#: 1763
FREDERICKSBURG, VA
Past

July 10, 2003 - September 30, 2004

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

July 6, 1998 - July 9, 2003

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/20/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/2/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/2/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/14/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/24/2007
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/12/1998
Investment Company Products/Variable Contracts Principal Examination

Current Firm

HD
HARRISON DOUGLAS, INC.
HARRISON DOUGLAS, INC. | SAVILLE, DRASKOVIC & ASSOC., LTD. | SAVILLE FINANCIAL GROUP, INC.

CRD#: 16515 / SEC#: , 8-34070

BD
Terminated by SEC on 07/17/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 09/13/1996
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HARRISON DOUGLAS FINANCIAL, INC.COLORADO CORPORATION
HRYNIK, STEPHEN JOHNEVP, SECRETARY/TREASURER, DIRECTOR & CFO1722809
PEDERSEN, MARK CARLSONVP OPERATIONS1283866
SCHRINER, DOUGLAS WAYNECHAIRMAN & PRESIDENT / CHIEF COMPLIANCE OFFICER1140409

Disclosures

Regulatory Event8
Civil Event1
Arbitration2

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.

Company Information

HARRISON DOUGLAS, INC.

CRD#: 16515

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