David A. 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.
David Allen Graham, who also goes by David A Graham, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 4 firms and has passed the Series 66 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 20, 2011 - December 10, 2014
OXFORD FINANCIAL GROUP, LTD
February 17, 2010 - January 19, 2011
CROWE WEALTH MANAGEMENT, LLC
August 8, 2008 - February 9, 2009
NATCITY INVESTMENTS, INC.
August 8, 2008 - February 9, 2009
NATCITY INVESTMENTS, INC.
August 26, 2003 - January 2, 2008
NATCITY INVESTMENTS, INC.
August 26, 2003 - January 2, 2008
NATCITY INVESTMENTS, INC.
October 14, 1999 - July 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 1999 - July 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
OXFORD FINANCIAL GROUP, LTD
CRD#: 105303 / SEC#: 801-20692
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
OXFORD FINANCIAL GROUP, LTD
CRD#: 105303 / SEC#: 801-20692
Contact information
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,467 |
| AUM (Assets Under Management) | $ 19,650,381,670 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/16/2025 | ||
| 03/28/2025 | ||
| 03/15/2024 | ||
| 03/24/2023 |
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.
