Joseph A. Mcgraw

YANKEE ADVISERS

Wayland, MA

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CRD#: 328036

Professional summary

Joseph Anselm Mcgraw JR, who also goes by Joseph A Mcgraw Jr, is a registered financial advisor currently at YANKEE ADVISERS, LLC located in Wayland, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. Joseph has worked at 8 firms and has passed the Series 63, Series 5, Series 1, Series 24, Series 53 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph A Mcgraw Jr

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) - RIA

Click below to view Joseph Anselm Mcgraw JR's 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

January 15, 2014 - Present

YANKEE ADVISERS, LLC

RIA

CRD#: 162608

Wayland, MA

Past

June 1, 1990 - January 13, 1997

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

October 10, 1985 - June 28, 1990

HOMANS, MCGRAW, TRULL, VALEO & CO., INC.

CRD#: 14647

Past

November 2, 1983 - October 10, 1985

MCGRAW,VALEO & CO., INC.

CRD#: 13950

Past

December 19, 1972 - November 11, 1983

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

November 1, 1971 - February 22, 1980

PIEDMONT CAPITAL CORPORATION

CRD#: 7679

Past

July 16, 1971 - June 11, 1972

PIEDMONT CAPITAL CORPORATION

CRD#: 711

Past

May 26, 1971 - November 1, 1971

PIEDMONT INTERNATIONAL, LTD.

CRD#: 944

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(1/15/2014)

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

Series 63

Date: 8/25/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/19/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 5/18/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/1983

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/14/1983

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 8/20/1983

Financial and Operations Principal Examination

Current Firm

YANKEE ADVISERS, LLC

CRD#: 162608 / SEC#:

Massachusetts

Registered Investment Advisory firm - (1/15/2014 Approved)

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Contact information

Main Address

Wayland, MA

Mailing Address

Phone number

(508) 276-1028

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 4,083,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Massachusetts	ERA - Withdrawn	11/21/2013

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 A. Mcgraw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anselm Mcgraw JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

H.C.WAINWRIGHT & CO., LLC

HOMANS, MCGRAW, TRULL, VALEO & CO., INC.

MCGRAW,VALEO & CO., INC.

CITIGROUP GLOBAL MARKETS INC.

PIEDMONT CAPITAL CORPORATION

PIEDMONT CAPITAL CORPORATION

PIEDMONT INTERNATIONAL, LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/1979

Series 5

Date: 10/19/1981

Series 1

Date: 5/18/1971

Series 24

Date: 9/14/1983

Series 53

Date: 9/14/1983

Series 27

Date: 8/20/1983

Current Firm

YANKEE ADVISERS, LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

YANKEE ADVISERS, LLC

TRUST BUT VERIFY

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