Adam P. Graf
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.
Adam Philip Graf was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2001. Adam had worked at 6 firms and has passed the Series 63, Series 87, SIE, Series 7 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
June 21, 2021 - December 31, 2021
FOUR POINTS CAPITAL PARTNERS LLC
January 8, 2019 - August 4, 2020
B. RILEY SECURITIES, INC.
May 17, 2013 - April 2, 2015
COWEN AND COMPANY
November 26, 2008 - May 31, 2013
COWEN SECURITIES LLC
May 17, 2005 - June 2, 2006
FEDERATED SECURITIES CORP.
October 8, 2001 - April 21, 2005
J.P. MORGAN SECURITIES LLC
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
FOUR POINTS CAPITAL PARTNERS LLC
CRD#: 43149 / SEC#: , 8-50162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
