Saxon P. 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.
Saxon Parker Graham was a registered financial professional .
Saxon is a previously registered financial professional and started their career in finance in 2003. Saxon had worked at 3 firms and has passed the Series 66, Series 63 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
June 26, 2014 - July 13, 2018
FINANCIAL FREEDOM ADVISORS, LLC
July 2, 2012 - July 15, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
July 29, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
January 22, 2003 - July 2, 2014
FIRST ALLIED SECURITIES, INC.
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
FINANCIAL FREEDOM ADVISORS, LLC
CRD#: 170963 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 139 |
| AUM (Assets Under Management) | $ 17,000,000 |
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.
