Graig H. Feierman

CONNING INVESTMENT PRODUCTS

New York, NY 10177

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CRD#: 4635444

Professional summary

Graig H Feierman, who also goes by Graig Feierman, is a registered financial professional currently at CONNING INVESTMENT PRODUCTS, INC. located in New York, New York.

Graig is registered as a RR (Registered Representative) and started their career in finance in 2005. Graig has worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Graig Feierman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Graig H Feierman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 24, 2024 - Present

CONNING INVESTMENT PRODUCTS, INC.

Office #1: 250 Park Avenue 15th Floor, New York, NY 10177

RIA

CRD#: 120387

New York, NY

Past

May 8, 2013 - May 22, 2024

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

March 1, 2012 - April 3, 2013

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

November 16, 2011 - April 3, 2013

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

NEW YORK, NY

Past

March 8, 2007 - April 29, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

December 19, 2006 - February 26, 2007

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

May 23, 2005 - January 31, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

CONNING INVESTMENT PRODUCTS, INC.

CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.

CRD#: 120387 / SEC#: 801-79816, 8-66444

RIA

Registered Investment Advisory firm - SEC (6/5/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(2/3/2025)

Connecticut
(2/3/2025)

Illinois
(2/3/2025)

Massachusetts
(2/3/2025)

New Jersey
(2/3/2025)

New York
(5/24/2024)

Texas
(2/3/2025)

Virginia
(2/3/2025)

Wisconsin
(2/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/22/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/15/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CONNING INVESTMENT PRODUCTS, INC.

CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.

CRD#: 120387 / SEC#: 801-79816, 8-66444

RIA

Registered Investment Advisory firm - SEC (6/5/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Financial Plaza 755 Main Street, Hartford, CT 06103

Mailing Address

One Financial Plaza, Hartford, CT 06103-2627

Phone number

(860) 299-2000

Established

Delaware since 02/13/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
CONNING & COMPANY	SHAREHOLDER
BRADFORD, LINWOOD EARLE JR	CHAIR BOARD OF DIRECTORS	4179446
DALY, MATTHEW KENNETH	PRESIDENT & HEAD OF SALES/ BOARD MEMBER	2638773
GEORGE, KENNETH RONALD	FINOP	2643369
LEE, JUNG WON	MANAGING DIRECTOR, CFO & COO, BOARD MEMBER	2791334
PEARCE, ROBERT STEDMAN	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	1991468
SMALLEY, VI (VIOLA) R.	CHIEF LEGAL COUNSEL/CORPORATE SECRETARY	5899872

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 517,711,336

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.

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Firm Stability Insights

Graig H. Feierman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Graig H Feierman's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CONNING INVESTMENT PRODUCTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/20/2005

Series 24

Date: 8/15/2007

FINRA

Current Firm

CONNING INVESTMENT PRODUCTS, INC.

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CONNING INVESTMENT PRODUCTS, INC.

TRUST BUT VERIFY

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