Charles M. 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.
Charles Marshall Graham, who also goes by Charles Graham, Marshall Graham, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2007. Charles had worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2020 - November 29, 2021
GT SECURITIES, INC.
November 7, 2012 - January 2, 2020
STILLPOINT CAPITAL, LLC
June 14, 2011 - November 5, 2012
WM. H. MURPHY & CO., INC.
March 26, 2010 - May 4, 2011
FOCUS SECURITIES LLC
October 10, 2007 - April 19, 2010
WM. H. MURPHY & CO., 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 10/8/2007
Corporate Securities Limited Representative ExaminationCurrent Firm
GT SECURITIES, INC.
CRD#: 116012 / SEC#: , 8-53527
Contact information
FINRA licenses (51 States and Territories)
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.
