Dustin M. Graham

Some features on this profile are disabled

CRD#: 5401403

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.

Dustin Michael Graham, who also goes by Dustin M Graham, was a registered financial professional .

Dustin is a previously registered financial professional and started their career in finance in 2007. Dustin had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dustin M Graham

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 16, 2015 - March 24, 2016

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 145056

Bradenton, FL

Past

August 8, 2014 - September 28, 2015

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 145056

PLANO, TX

Past

November 16, 2010 - April 3, 2012

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

PEORIA, AZ

Past

October 15, 2010 - April 3, 2012

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

PEORIA, AZ

Past

March 1, 2010 - October 8, 2010

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

PEORIA, AZ

Past

December 17, 2009 - October 8, 2010

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

PEORIA, AZ

Past

January 7, 2009 - December 24, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SUN CITY, AZ

Past

November 25, 2008 - December 24, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SUN CITY, AZ

Past

July 29, 2008 - December 1, 2008

LPL FINANCIAL LLC

CRD#: 6413

PHOENIX, AZ

Past

September 5, 2007 - July 3, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SUN LAKES, AZ

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".

PEAK AMERICAN INVESTMENT ADVISORS, INC.

PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.

CRD#: 145056 / SEC#: 801-133891

RIA

Registered Investment Advisory firm - (7/17/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/18/2022 Terminated)

California

Registered Investment Advisory firm - (8/20/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (1/22/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (9/17/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (9/30/2013 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2013 Terminated)

Mississippi

Registered Investment Advisory firm - (1/16/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/21/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (9/16/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/22/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (4/3/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 1/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/7/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/8/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/4/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PEAK AMERICAN INVESTMENT ADVISORS, INC.

PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.

CRD#: 145056 / SEC#: 801-133891

RIA

Registered Investment Advisory firm - (7/17/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/18/2022 Terminated)

California

Registered Investment Advisory firm - (8/20/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (1/22/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (9/17/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (9/30/2013 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2013 Terminated)

Mississippi

Registered Investment Advisory firm - (1/16/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/21/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (9/16/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/22/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (4/3/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2400 Dallas Parkway Ste 100, Plano, TX 75093

Mailing Address

Phone number

(800) 513-3243

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (10/2/2025)

Regulatory assets under management

Total Number of Accounts	567
AUM (Assets Under Management)	$ 100,382,397

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dustin M. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PEAK AMERICAN INVESTMENT ADVISORS, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LPL FINANCIAL LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

PEAK AMERICAN INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/2/2009

Series 63

Date: 9/7/2007

Series 7

Date: 5/8/2008

Series 6

Date: 9/4/2007

Current Firm

PEAK AMERICAN INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK AMERICAN INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors