Joseph M. Graham

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CRD#: 3269919

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.

Joseph Mark Graham, who also goes by Joe Graham, Joseph M Graham, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Graham | Joseph M Graham

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

August 27, 2015 - May 22, 2025

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

August 5, 2015 - May 22, 2025

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

May 1, 2014 - May 5, 2015

ROUTE 3 CAPITAL

RIA

CRD#: 170247

JERSEY CITY, NJ

Past

November 18, 2008 - June 23, 2009

MILLENCO LLC

CRD#: 33726

NEW YORK, NY

Past

March 9, 2007 - October 28, 2008

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

November 16, 2006 - October 28, 2008

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

February 23, 2000 - June 2, 2003

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

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".

LORD, ABBETT & CO. LLC

LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA

Registered Investment Advisory firm - (11/7/1970 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/5/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/15/2000

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: 7/13/2015

General Securities Representative Examination

Current Firm

LORD, ABBETT & CO. LLC

LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA

Registered Investment Advisory firm - (11/7/1970 Approved)

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Contact information

Main Address

30 Hudson Street, Jersey City, NJ 07302-4804

Mailing Address

Phone number

(201) 827-2000

Established

Firm type

Fiscal year end

# of Employees

789

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (12/20/2024)

Regulatory assets under management

Total Number of Accounts	30,191
AUM (Assets Under Management)	$ 238,757,080,041

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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Advisor Monitoring

Firm Stability Insights

Joseph M. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LORD ABBETT DISTRIBUTOR LLC

ROUTE 3 CAPITAL

MILLENCO LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

LORD, ABBETT & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/5/2007

Series 63

Date: 9/15/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/13/2015

Current Firm

LORD, ABBETT & CO. LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LORD, ABBETT & CO. LLC

TRUST BUT VERIFY

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