Kurt M. 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.
Kurt Mcgann Graham was a registered financial professional .
Kurt is a previously registered financial professional and started their career in finance in 2000. Kurt had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2022 - December 31, 2022
FORESIDE FUND SERVICES, LLC
January 15, 2021 - March 10, 2021
EMPOWER FINANCIAL SERVICES, INC.
November 23, 2016 - May 15, 2019
FORESIDE FUND SERVICES, LLC
July 22, 2009 - October 2, 2009
CITIZENS SECURITIES, INC.
July 21, 2009 - October 2, 2009
CITIZENS SECURITIES, INC.
October 4, 2005 - February 12, 2009
LAZARD ASSET MANAGEMENT SECURITIES LLC
April 5, 2002 - November 17, 2003
PUTNAM INVESTMENT MANAGEMENT, LLC
August 23, 2000 - November 17, 2003
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
