MG
Michael L. Graves
JANNEY MONTGOMERY SCOTT LLC
PONTE VEDRA BEACH, FL 32082-3298
Some features on this profile are disabled
CRD#: 4351078
MG
Professional summary
Michael Lawrence Graves, who also goes by Michael L Graves, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Ponte Vedra Beach, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael L Graves
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.
1) Melaleuca, Inc., Idaho Falls, ID; not investment related; Shopping Club; Referral Rep; start date 12/01/2020; 5 hrs. per month/0.25 per day; Refer friends to shopping club.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Lawrence Graves's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Lawrence Graves'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®
NoneExperience
Current
July 2, 2021 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 814 North Highway A1a Suite 203, Ponte Vedra Beach, FL 32082-3298RIA
BD
CRD#: 463
PONTE VEDRA BEACH, FL
Current
July 2, 2021 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 814 North Highway A1a Suite 203, Ponte Vedra Beach, FL 32082-3298RIA
BD
CRD#: 463
PONTE VEDRA BEACH, FL
Past
July 30, 2013 - July 7, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PONTE VEDRA BEACH, FL
Past
July 18, 2013 - July 7, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PONTE VEDRA BEACH, FL
Past
January 2, 2009 - July 26, 2013
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PONTE VEDRA BEACH, FL
Past
January 2, 2009 - July 26, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PONTE VEDRA BEACH, FL
Past
April 2, 2007 - January 6, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
JACKSONVILLE, FL
Past
April 2, 2007 - January 6, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
JACKSONVILLE, FL
Past
April 20, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
JACKSONVILLE, FL
Past
April 16, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
JACKSONVILLE, FL
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/9/2021)
RR
Arizona(7/2/2021)
RR
California(7/2/2021)
RR
Colorado(7/2/2021)
RR
Connecticut(7/2/2021)
RR
Delaware(7/2/2021)
RR
District of Columbia(7/6/2021)
RR
Florida(7/2/2021)
IAR
Florida(7/6/2021)
RR
Georgia(7/2/2021)
RR
Indiana(7/2/2021)
RR
Kansas(7/2/2021)
RR
Louisiana(7/2/2021)
RR
Maryland(7/20/2021)
RR
Massachusetts(7/2/2021)
RR
Michigan(7/2/2021)
RR
Minnesota(9/10/2024)
RR
Montana(7/2/2021)
RR
New Hampshire(7/2/2021)
RR
New Mexico(7/2/2021)
RR
New York(7/2/2021)
IAR
New York(7/21/2021)
RR
North Carolina(7/13/2021)
RR
Ohio(7/2/2021)
RR
Pennsylvania(7/2/2021)
RR
Rhode Island(8/2/2021)
RR
South Carolina(7/2/2021)
RR
Tennessee(7/2/2021)
RR
Texas(7/2/2021)
IAR
Texas(7/2/2021)
RR
Virginia(7/2/2021)
RR
Washington(7/9/2021)
RR
Wisconsin(8/5/2021)
RR
Wyoming(7/2/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Ponte Vedra Beach, FL 32082-3298TRUST BUT VERIFY
Monitor Michael Graves
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
