James F. 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.
James Francis Graham, who also goes by James Francis Graham Jr, James Francis Graham, James Graham, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2012. James had worked at 4 firms and has passed the Series 63, SIE, 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
May 30, 2024 - June 8, 2026
FRANKLIN DISTRIBUTORS, LLC
July 20, 2022 - May 17, 2024
FORESIDE FUND SERVICES, LLC
January 20, 2016 - July 5, 2022
TCW FUNDS DISTRIBUTORS LLC
June 14, 2012 - January 15, 2016
AMERICAN CENTURY INVESTMENT SERVICES 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
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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