Philip J. Graham

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CRD#: 4038072

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.

Philip Jon Graham was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 2000. Philip had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

May 6, 2019 - November 3, 2020

ADVISORY ALPHA, LLC

RIA

CRD#: 158282

Cornelius, NC

Past

April 4, 2018 - February 15, 2019

ICAPITAL MARKETS LLC

CRD#: 118219

NEW YORK, NY

Past

August 22, 2013 - December 31, 2017

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

April 17, 2009 - August 23, 2013

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

CORNELIUS, NC

Past

September 25, 2008 - March 5, 2009

QUESTAR CAPITAL CORPORATION

CRD#: 43100

CORNELIUS, NC

Past

June 7, 2000 - August 17, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

CORNELIUS, NC

Past

January 5, 2000 - June 2, 2000

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

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".

ADVISORY ALPHA, LLC

CRD#: 158282 / SEC#: 801-72499

RIA

Registered Investment Advisory firm - (6/14/2011 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: 10/22/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/29/2009

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: 1/4/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2000

General Securities Principal Examination

Current Firm

ADVISORY ALPHA, LLC

CRD#: 158282 / SEC#: 801-72499

RIA

Registered Investment Advisory firm - (6/14/2011 Approved)

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Contact information

Main Address

348 S Waverly Rd Suite 100, Holland, MI 49423

Mailing Address

Phone number

(866) 530-1400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISORY ALPHA, LLC ADV PART 2A (4/24/2025)

Regulatory assets under management

Total Number of Accounts	22,480
AUM (Assets Under Management)	$ 3,468,083,482

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

Philip J. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ICAPITAL MARKETS LLC

THE LEADERS GROUP, INC.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

ADVISORY ALPHA, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2018

Series 63

Date: 5/29/2009

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2000

Series 24

Date: 12/13/2000

Current Firm

ADVISORY ALPHA, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISORY ALPHA, LLC

TRUST BUT VERIFY

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