Graham A. Rowe
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.
Graham Arthur Rowe was a registered financial professional .
Graham is a previously registered financial professional and started their career in finance in 1969. Graham had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, Series 1, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - July 2, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
June 25, 2012 - August 21, 2017
FINANCIAL WEST GROUP
May 27, 1999 - December 31, 2024
SELECT CAPITAL MANAGEMENT, INC.
June 4, 1986 - October 3, 2012
SRM SECURITIES, INCORPORATED
June 10, 1977 - May 28, 1986
CIBC WORLD MARKETS CORP.
March 11, 1969 - July 17, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 1
Date: 3/10/1969
Registered Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
