Fielding R. 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.
Fielding Ruddell Graham, who also goes by Graham Ruddell Fielding Ruddell, was a registered financial professional .
Fielding is a previously registered financial professional and started their career in finance in 2009. Fielding had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2013 - February 9, 2017
LEUCADIA ASSET MANAGEMENT LLC
June 4, 2013 - February 9, 2017
JEFFERIES LLC
October 21, 2011 - June 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2011 - June 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 2010 - October 26, 2011
MORGAN STANLEY
May 18, 2010 - October 26, 2011
MORGAN STANLEY
November 26, 2009 - February 23, 2010
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
LEUCADIA ASSET MANAGEMENT LLC
CRD#: 121767 / SEC#: 801-61698
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
LEUCADIA ASSET MANAGEMENT LLC
CRD#: 121767 / SEC#: 801-61698
Contact information
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 4,042,872,103 |
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.
