Philip A. Grafmiller
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 Alan Grafmiller, who also goes by Philip Grafmiller, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2003. Philip had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - November 9, 2020
SWAN DFW FINANCIAL SOLUTIONS, LLC
October 7, 2013 - December 17, 2014
PLANMEMBER SECURITIES CORPORATION
October 7, 2013 - December 17, 2014
PLANMEMBER SECURITIES CORPORATION
April 8, 2013 - October 7, 2013
VERITRUST FINANCIAL, LLC
April 8, 2013 - October 7, 2013
VERITRUST FINANCIAL, LLC
April 21, 2009 - April 10, 2013
NEW ENGLAND SECURITIES
April 8, 2009 - April 10, 2013
NEW ENGLAND SECURITIES
January 2, 2009 - April 3, 2009
SECURITIES AMERICA ADVISORS, INC.
January 2, 2009 - April 3, 2009
SECURITIES AMERICA, INC.
October 8, 2004 - January 5, 2009
LPL FINANCIAL LLC
October 8, 2004 - January 5, 2009
LPL FINANCIAL LLC
February 21, 2003 - October 12, 2004
EQUITABLE ADVISORS, LLC
January 2, 2003 - October 12, 2004
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SWAN DFW FINANCIAL SOLUTIONS, LLC
CRD#: 173964 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 112 |
| AUM (Assets Under Management) | $ 27,726,798 |
Red Flags
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