AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MG

Michael D. Graham

Some features on this profile are disabled
CRD#: 5573365
MG

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.

Michael David Graham was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 26, 2014 - June 3, 2015

RESEARCH CAPITAL USA INC.

BD
CRD#: 39670
TORONTO,
Past

November 5, 2013 - October 31, 2014

JENNINGS CAPITAL (USA) INC.

BD
CRD#: 141191
CALGARY AB,
Past

December 5, 2011 - June 4, 2013

EDGECREST CAPITAL (USA) INC.

BD
CRD#: 153978
TORONTO ONTARIO,
Past

February 15, 2011 - December 1, 2011

EDGECREST CAPITAL (USA) INC.

BD
CRD#: 153978
TORONTO ONTARIO,
Past

January 11, 2011 - November 30, 2011

JENNINGS CAPITAL (USA) INC.

BD
CRD#: 141191
TORONTO, ONTARIO,
Past

August 15, 2008 - November 13, 2008

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
TORONTO, ONTARIO,

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.

Exams

State Security Law Exam
RR
Series 63
Date: 1/21/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/3/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/2008
General Securities Representative Examination

Current Firm

RC
RESEARCH CAPITAL USA INC.
MACKIE RESEARCH USA INC. | RESEARCH CAPITAL USA INC.

CRD#: 39670 / SEC#: , 8-48795

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2
Mailing Address
199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2
Phone number
(416) 860-7600
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RESEARCH CAPITAL CORPORATIONSOLE OWNER
SELBIE, ANDREW CHARLESPRESIDENT2009162
SELBIE, ANDREW CHARLESCEO, CFO, FINOP & CORPORATE SECRETARY2009162
WILLIAMS, JOHN RAYCHIEF COMPLIANCE OFFICER1865081

Disclosures

Regulatory Event2

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.

Company Information

RESEARCH CAPITAL USA INC.

CRD#: 39670

TRUST BUT VERIFY

Monitor Michael Graham

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics