Aaron B. Graham

AG FINANCIAL

Salt Lake City, UT 84121

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CRD#: 3167246

Professional summary

Aaron Brian Graham is a registered financial advisor currently at AG FINANCIAL located in Salt Lake City, Utah and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Salt Lake City, Utah.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Aaron has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1.) AG FINANCIAL, LLC - REP/ADVISOR - INSURANCE, FINANCIAL AND INVESTMENT ADVISOR SERVICES - SALT LAKE CITY UT, SINCE 03/2006 - 2.) AG FINANCIAL - INVESTMENT ADVISOR - REGISTERED INVESTMENT ADVISOR - SALT LAKE CITY, UT - SINCE 01/2006 - INVESTMENT RELATED 3.) AG FINANCIAL LLC - DBA NAME FOR MARKETING PURPOSES ONLY - SALT LAKE CITY, UT - SINCE 09/2019 - INVESTMENT RELATED 4.) AARON GRAHAM - INDEPENDENT INSURANCE AGENT - INDEPENDENT INSURANCE AGENT - SALT LAKE CITY, UT - SINCE 01/2006 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Brian Graham's CRS (Customer Relationship Summary).

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

April 19, 2006 - Present

AG FINANCIAL

Office #1: 2825 East Cottonwood Parkway Suite 500, Salt Lake City, UT 84121

RIA

CRD#: 140226

Salt Lake City, UT

Current

August 2, 2005 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 2825 E Cottonwood Pkwy Ste 500, Salt Lake City, UT 84121Office #2: 16427 North Scottsdale Rd Ste 410, Scottsdale, AZ 85260

RIA

CRD#: 20804

Salt Lake City, UT

Past

February 2, 2006 - April 11, 2006

G2 FINANCIAL GROUP, LLC

RIA

CRD#: 135407

SALT LAKE CITY, UT

Past

June 7, 2004 - May 12, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

SCOTTSDALE, AZ

Past

January 9, 2004 - May 12, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

October 2, 2001 - February 3, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SALT LAKE CITY, UT

Past

August 31, 2001 - February 3, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 24, 1999 - September 20, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

AG FINANCIAL

AG FINANCIAL | AG FINANCIAL, LLC

CRD#: 140226 / SEC#: 801-66579

RIA

Registered Investment Advisory firm - (4/19/2006 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.

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
(8/2/2005)

IAR

Arizona
(4/20/2006)

California
(11/21/2005)

Colorado
(4/26/2006)

Idaho
(1/22/2013)

Illinois
(8/6/2021)

Minnesota
(7/2/2013)

Montana
(6/24/2015)

Nevada
(7/1/2015)

North Carolina
(10/10/2022)

Oregon
(6/7/2016)

Texas
(11/2/2007)

IAR

Texas
(11/15/2007)

Utah
(8/2/2005)

IAR

Utah
(4/19/2006)

Washington
(7/7/2006)

Wyoming
(8/24/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/10/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/25/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 4/6/2005

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

AG FINANCIAL

AG FINANCIAL | AG FINANCIAL, LLC

CRD#: 140226 / SEC#: 801-66579

RIA

Registered Investment Advisory firm - (4/19/2006 Approved)

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Contact information

Main Address

2825 East Cottonwood Parkway Suite 500, Salt Lake City, UT 84121

Mailing Address

Phone number

(801) 990-3470

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AG FINANCIAL, ADV PART 2A (2/27/2025)

Regulatory assets under management

Total Number of Accounts	418
AUM (Assets Under Management)	$ 105,332,451

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.

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Firm Stability Insights

Aaron B. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Brian Graham's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

G2 FINANCIAL GROUP, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

AG FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/1999

Series 63

Date: 2/25/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/11/1999

Series 24

Date: 1/12/2006

Series 9

Date: 4/6/2005

FINRA

Current Firm

AG FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AG FINANCIAL

TRUST BUT VERIFY

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